Business Assurance Officer

  • Not Specified
  • Londres, Angleterre, Royaume-Uni Londres Angleterre GB
  • Intérim, Plein-temps
  • Randstad Sourceright
  • 14 juin 18 2018-06-14

Business Assurance Officer A well-known investment bank in London is looking for a new team member for a 6 months contract. The Commercial department is responsible for implementation and the development of the business through intelligent planning, reliable operations, providing a robust governance framework and

Business Assurance Officer

A well-known investment bank in London is looking for a new team member for a 6 months contract. The Commercial department is responsible for implementation and the development of the business through intelligent planning, reliable operations, providing a robust governance framework and creating productive relationships with the Private Banking, Wealth Planning and Credit teams.

You will monitor the internal control environment for Commercial, Wealth Management Services and Credit in all jurisdictions, to establish that it is robust and meets local regulatory standards. 

Summary of responsibilities:

Execute all necessary daily, weekly and monthly BAU business assurance monitoring processes, including:

  • Monitoring of “Inappropriate Behaviour” as defined by the FCA of client facing staff
  • Review of client take-on documentation for all new clients to assess adherence to regulatory requirements, quality of client and risk profiling
  • Monitoring of call backs to mitigate risk of fraud
  • Maintain version control of client facing documentation
  • Maintain version control of business assurance policy and procedures and execute action plans to remediate exceptions to these policy and procedures whether internally created or if created by KB Internal Audit, Compliance or Operational Risk.
  • Assist the team with delivery of the control framework including trade review, suitability and complaints
  • Provide regular reports to the Business Assurance Manager
  • Day to day responsibility on operational matters with escalation to Business Assurance Manager for material exceptions

Technical knowledge and skills:

  • Knowledge of legal and/or regulatory requirements
  • Working experiences within private bank or wealth management area.
  • Influencing and strong stakeholder management and communication
  • Problem solving
  • Commercial awareness
  • Financial product knowledge
  • Analytical Thinking
  • Change Management
  • Numeracy
  • Decision Making
  • Planning & Organising

London

6 months contract

300 per day