QA Analyst IV – TMS Compliance
Coinbase
Cloud
Vice President, Global Compliance Testing
BNY
full-time
Posted on:
Origin: • 🇬🇧 United Kingdom
Visit company websiteJob Level
Senior
About the role
- Global Senior Compliance Testing Analyst, BNY Investments role responsible for planning and executing compliance testing assignments. Conduct pre-scoping exercises, document scope, conduct field work, evaluate risk and processes, document testing and sampling, compile review documentation, draft reports, liaise with managers and CCOs, chase issue closures, maintain Compliance Testing system (CRAFT), represent Testing team at governance committees, deputise for Compliance Testing Manager when required.
Requirements
- Solid Compliance background, preferably in 2nd line risk based / thematic monitoring or 3LOD Internal audit roles. Experience of applying monitoring/testing or audit methodologies within financial organisations, preferably within the investment management industry. Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions, ESG. Knowledge and understanding of SEC requirements in these areas is also highly desirable. Able to build and maintain relationships with key business stakeholders of all levels. Able to synthesise, organise and evaluate large amounts of information, think logically, and identify potential risks. Well organised self-starter, able to prioritise quickly and adapt to tight timeframes and meet deadlines.
