Specialist Audit - Compliance Monitoring

We are looking for someone who is passionate about technology, who has experience working with technology infrastructure and systems analysis. The successful candidate will join the Compliance Monitoring & Testing team who provide assurance on compliance with relevant laws, regulations and internal policies of the business. The team executes monitoring assignments in accordance with the Group Compliance Assurance Methodology, relevant policies, procedures and quality standards. This position plays a crucial role in identifying and mitigating compliance risks within the organisation and involves conducting regular testing to identify potential compliance risks and working closely with multiple stakeholders to implement corrective actions. A significant part of the role will involve system analysis, data analytics and automating the testing of compliance and reputation risk controls.

• Execute all of the monitoring/audit phases - planning and scoping (identification of risks and controls), fieldwork (execution of design and operating effectiveness assessments) and reporting (ensure audit observations and planned actions are agreed with management for factual accuracy).
• Ensure that delivery adheres to the Compliance Assurance Methodology and quality standards.
• Prepare monitoring/audit observations and make sure that they are concise, factually accurate and cover all of the significant issues. The observations must be insightful, address the root causes, and have agreed actions that fully mitigate the risk.
• Maintain comprehensive documentation of testing procedures, results, and recommendations.
• Prepare and present regular reports to senior management and relevant stakeholders outlining compliance testing findings and recommended actions.
• Provide suggestions to stakeholder management on how they can address the control issues identified.
• Display professional scepticism, raising and discussing contentious observations with management and provide evidence to support all issues identified.
• Provide timely feedback to the Monitoring & Testing Manager and team members with progress on identified issues and observations raised.
• Draft all findings and reports so that they are concise and factually accurate.
• Support the development and implementation of data analytics driven business-monitoring programmes to support the Compliance Monitoring & Testing team.

• Practical experience of development and execution of IT General and Application Controls, analytics programs to assess risk and related control environments as part of an internal or external audit role/function, or as part of a risk management function.
• In-depth working knowledge of GRC systems and integration with Data Lakes (e.g. Auditbond, Archer GRC, Hadoop & AWS Data Lakes).
• In-depth knowledge of relevant financial service regulations and industry best practices.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Detail oriented and thorough.
• Ability to work independently and as a part of a team.
• Strong ethical standards and integrity.