Compliance Complete | Recruitment | Job List

Internal Auditor – Financial Services Audit (External or Internal) Experience Req’d

1336144533

Compliance & RegulationInternal Audit | 40k - 50k Annually + Excellent Bens & Bonus |

Our client, a leading professional services firm, seeks an experienced auditor to join its Compliance team. Duties include;

Working with the Director of Risk to scope, execute and deliver a variety of audit and risk management projects as part of an annual audit plan
Implementing a Compliance File Audit plan across the firm to check compliance with both internal process and legal and regulatory requirements
Conducting and managing other "general" audits to ensure the firm's systems and internal control are operating properly
Working with the Director of Risk and other members of the RCT to develop audit strategies to respond or adapt to regulatory or legislative changes
Assisting the Director of Risk with developing and delivering compliance and risk training across the firm
Involvement in and management of other ad hoc compliance projects and initiatives as required
Advising the partnership on relevant compliance issues

You should be an experienced auditor (qualified or otherwise) from a Financial Services firm (or an ACA with experience of auditing financial services clients) looking both to specialise in a growing area and get the opportunity to develop staff management skills.

Please call David Symes FCA on 020 7330 6966 for a confidential discussion about this position or send your details to david@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance File Checker

1335456100

Compliance & RegulationLife & PensionsMortagesInternal Audit | circa £23,000 plus bonus |

Our client, is a leading service provider to UK based financial advisory firms. A key aspect of their business is compliance consultancy, which they deliver via-state-of-the systems to provide the highest level of bespoke compliance support to their clients.

As a result of continued growth, an opportunity has arisen within their Compliance function for an experienced file checker/consultant

Job Description

Check business submission files in accordance with established standards and targets
Provide consultancy support to member firms on all aspects of compliance in accordance with our client's own standards
File checking, including managing workflow, checking all categories of cases and recording results
Provide guidance to authorised firms on compliance processes and procedures via the ticketing system
Provide training course support and train & develop inexperienced staff on regulatory issues
Maintain the suite of compliance documents including suitability reports

Person Specification

Ideally from an IFA background
Full FPC or equivalent working towards level 4
Knowledge and experience of pensions and investments
Compliance experience: minimum 3 years, including at least 1 year's file checking
Strong organisational skills
Ability to work on multiple tasks and projects
Good communication skills
Flexible approach
Committed and self-motivated
Willing and able to develop wide skills and knowledge

For further details on this opportunity please contact Carwyn Evans on 0161 234 0332 or email your CV to carwyn.evans@psdgroup.com

Credit Risk Stress Testing

1335444894

Insurance & Retail | 28k - 30k Yearly | An excellent Leeds based opportunity has arisen with a large retail bank. The successful candidate will be tasked to develop and maintain the scenarios analyses and stress testing of the banks credit exposures.

Key responsibilities:

*To develop and maintain the stress testing framework.
*To provide timely scenarios analyses of the Society credit exposures, across the residential lending, commercial lending and lifetime mortgage exposure, under the Central Scenario.
*To undertake stress tests of the portfolios under a defined economic scenario.
*To provide reverse stress test analyses on the Society's portfolios.
*To produce quarterly analyses on the Society's portfolios based upon various economic scenarios.
*Production of stress test inputs into the ICAAP process.
*To enhance the society's stress testing modelling capabilities.
*To provide support to Credit Risk Analysts in the production of both regular and ad-hoc credit risk analyses.
*To undertake timely analyses into the credit risks of Society's exposures, reporting the results to senior Management.

Competencies needed
Essential
*Knowledge of Oracle - with ability to manipulate large data sets, automate monthly processes and amend or build data projects in Oracle.
*Strong Excel skills - with ability to work with multiple work sheets, pivots, macros etc.
*Highly numerate / statistical knowledge - able to work with numbers and make error free calculations.
*Communication - effectively communicate detail and technical concepts in plain English.
*Stakeholder management - Interface with various departments effectively to ensure project delivery.
*Innovation - able to design and deliver new management information and analysis that supports and enhances forecasts and forecasting processes.
*Team working - enjoys working in cross functional and virtual teams.

Preferred
*Strong SAS skills - with ability to manipulate large data sets, automate monthly SAS processes and debug SAS code with minimal steer.

www.badenochandclark.com - Let's find the career that connects with your life.Badenoch & Clark is acting as an Employment Agency in relation to this vacancy. Badenoch & Clark is an Equal Opportunity Employer and a registered Disability Symbol User.