capital - capital.com - Group Compliance Assurance Testing Manager
Requirements
• 2-5 years of experience within the financial services industry ideally in second line Compliance Assurance and testing, Audit and/or Controls Testing functions. • Understanding of assurance/audit testing principles across Design and Operational testing of controls • Knowledge of ``global regulatory framework, particularly in relation to UK, European and CySEC regulations. • Excellent analytical skills and attention to detail. • Strong written and verbal communication skills. • Ability to work independently and as part of a team. • Strong organisational and time management skills. • A Bachelor's degree in a relevant field such as law, finance, business or accounting, is preferred but not essential.
Responsibilities
• Conducting independent, second line, compliance Assurance testing reviews to ensure that the firm is compliant with all applicable regulations, policies, and procedures. • Identifying, analysing and understanding how risk can occur in our business and designing testing approach’s that will identify potential weaknesses in the firms control environment. • Executing both design and operational testing across all areas of applicable risk. • Manage and validate issues resulting from Compliance Assurance testing. • Participate in the development of the Compliance Assurance process, including use of AI in supporting the testing approach. • Assisting in the development and implementation of compliance policies and procedures. • Conducting investigations and reviews of compliance issues, and issues and making recommendationsfor corrective action. • Creating reports that detail Compliance Assurance plan progress and identified findings to update management. • Maintaining accurate records and files of all Compliance Assurance and Monitoring testing work. • Both lead compliance projects and thematic reviews and support the existing team with co-ordinating ongoing assignments. • Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated. • Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid • Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry. • Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team. • Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks! • Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits! • Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community. • Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
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