Compliance Tester
This role involves working with the EMEA Compliance Testing Regional Manager and partners to complete and report on specific reviews. The successful candidate will be responsible for execution of the testing program, independently planning and executing of specific reviews, identifying issues and underlying root-cause analysis, agreeing solutions and communicating findings effectively.
About This Role
The key responsibilities of this role include establishing the appropriate scope and test steps for individual reviews, conducting and documenting testing reviews to assess compliance with regulations, engaging with SME's to understand matters for concern related to applicable reviews, and following established policies, procedures and standards for testing activities.
Key Responsibilities
* Establish the appropriate scope and test steps for individual reviews.
* Conduct and document testing reviews to assess compliance with and adherence to regulations/legislation and internal policies.
* Engage with Compliance SME's to understand any matters for concern related to applicable reviews.
* Follow established policies, procedures and standards for testing activities.
* Apply analytical skills to review information and determine potential weaknesses or exceptions to policies / processes.
* Validate and summarise testing results in clear, concise language.
* Detect and advise Compliance and Business Unit management of potential compliance issues and identify changes and/or enhancements to improve efficiencies in procedures.
Requirements
* Proven experience related to compliance, compliance testing/monitoring or auditing.
* Knowledge of Guernsey and/or EU regulations and key regulatory developments would be an advantage.
* Highly motivated individual who has a proven record of using initiative to resolve problems.
* Analytical ability to identify and understand problems as well as to provide effective solutions.
* Excellent written and oral communication skills.
* Confidence and expertise to advise and challenge senior management and the business.
* Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved.