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Specialist Compliance Control

Hays Poland

Wroclaw, dolnośląskie

Hays Poland

Specialist Compliance Control

Wroclaw
Specialist Compliance Control
Wroclaw
NR REF.: 1131553

Compliance Monitoring assesses the effectiveness of controls that help ensure ongoing compliance with laws, regulations and policies affecting businesses throughout the world. Monitoring is a core pillar of the Compliance program and partners with other functions to ensure that senior management is taking informed decisions. Through comprehensive, risk-based reviews of both existing and emerging regulatory requirements, the
Compliance Monitoring provides information.

We are looking for an experienced professional to take the role of the Specialist in the Compliance Monitoring team in Wroclaw (with primary focus on the US regulatory environment) who will be responsible for participating in Compliance Monitoring Reviews. The role involves the preparation, execution and documentation of the results of the review conducted, as well as proactive interaction with stakeholders and compliance colleagues in developing a remediation process.

Successful individual will be a part of a Global Compliance Monitoring team (role based in Wroclaw) and will be overseen by a local manager with dual reporting line to the Head of Americas Compliance Monitoring.

Responsibilities:
  • Plan, execute, and document compliance reviews with limited supervision and to a high standard in accordance with internal manual, corporate policies and regulatory expectations.
  • Completing reviews efficiently within established timeframes with the ability to multi-task.
  • Based on assessments of controls, works with business units to implement improvements and develop documentation when control changes are made.
  • Analyze risks and proactively identify the root-cause of issues using internal methodology and risk-based approach.
  • With minimal guidance, contributes to assessments of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting businesses.
  • Communicate review results and issues in a clear and concise manner, both verbally and in writing.
  • Contributes to the achievement of team objectives.
  • Contributes to corporate expectations: Excellence, Accountability, Client Driven and Efficient Decision Making.
  • Proactively follow-up on any outstanding issues/concerns and those that are past due.
  • Partner with other teams within Compliance and Business to ensure the delivery of a seamless program across the firm, and the early identification of emerging issues.

Qualifications


· Education to degree standard (or equivalent) preferably covering one of the areas: audit, law, finance, accounting, mathematics.


· 4-7 years of total work experience within Financial Services (preferably internal auditing, internal control, regulatory compliance), with good understanding of the regulatory standards.
· Working knowledge of the US regulations concerning financial services sector (including: Office of the Comptroller of the Currency “OCC”, Federal Reserve System “Fed”, Financial Industry Regulatory Authority “FINRA”).
· Demonstrable understanding of internal controls, risk assessment concepts and strong analytical skills to assess the impact of control weaknesses.
· Strong verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.
· Strong sense of responsibility and ownership of the work performed.
· Excellent time management skills and proactive approach towards tasks assigned.
· Good Microsoft Office skills (including Excel, Word, Powerpoint).
· Experience with data analytics techniques is desirable.
· Fluent in English (both written and spoken) including business terminology.

What we can offer you:
· Full time contract of employment


· Competitive salary


· Health & Life Insurance

· Multisport card / Cinema Tickets / Nursery subsidiary


· Pension scheme


· Excellent opportunities for training, growth and professional development


· Opportunities to engage in diverse projects due to growth of business migrations

· A multitude of opportunities to get involved in additional charity projects


· A collaborative culture and great teams



If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.
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Hays Poland

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