Manager, Compliance Testing

What is the opportunity?

As an integral member of the UK / Europe Compliance Testing team, the Compliance Testing Manager helps support local Chief Compliance Officers (CCOs) in fulfilling their responsibilities defined under the RBC Regulatory Compliance Management Framework.

Working Hours : 9.00AM - 6.00PM (Malaysia Time Zone GMT+8)

What will you do ?

• Assist in the completion of effective risk assessments to drive the UK and Europe Compliance Monitoring Plan.
• Under the stewardship of the Head of Compliance Testing, Europe or Senior Associate Directors within the team: o Contribute to timely and accurate compliance Testing reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk (across Capital Markets, IS Trust, BlueBay & WM).
• Work with Compliance and business colleagues to log and track action plans raised to resolve issues identified during monitoring reviews;
• Contribute towards the continual enhancement of the Testing approach and annual Testing program (including providing ideas for developing/improving the approach to continuous business Testing and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards)
• Assist in the delivery of timely responses to internal audit and external regulatory enquiries
• Support ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).

What so you need to succeed?

Must-have

• At least 5-7 years of experience in regulatory compliance within Finance Services (Capital Markets, Wealth Management, Asset Management)
• Deep understanding about the industry standard and legal regulation for Europe region
• Excellent in auditing , monitoring or risk and data analytics skills

Nice-to-have

• Good in planning and organizing.
• Advance analytical thinking and problem solving