Senior Compliance Monitoring and Testing Officer
You will assist with designing, implementing, and overseeing a risk-based compliance monitoring and testing program based on EU regulatory requirements. You will execute daily monitoring activities, review and implement policies and procedures, lead annual testing plans, improve controls and tooling, prepare compliance reports, communicate findings, and guide other compliance officers.
Responsibilities
- Assist the Compliance Manager in designing and implementing improvements to the compliance monitoring and testing program
- Identify and communicate the objectives, scope, risks, laws, regulations, and commitments covered by the program
- Design and update compliance risk assessment processes
- Assess suitable monitoring or testing approaches, tools, and methodologies
- Implement the operating model for executing the program in business-as-usual operations
- Lead and own the execution and implementation of the annual compliance monitoring and testing plan
- Review associated policies and procedures
- Suggest and implement improved controls, tooling, and systems
- Review policies according to the policies management framework and review plan
- Write compliance reports and communicate findings to stakeholders
- Assist with implementing reporting and escalation methodologies
- Provide guidance and coaching to other compliance officers
Requirements
- University degree in Law or a similar relevant study
- 5 years of experience in a Compliance or Risk-related business function
- 3-5 years of experience with compliance testing, monitoring, and audit programmes
- Comprehensive knowledge of financial services regulations including MiFID II, MiCAR, Electronic Money directives, or Payment directives
- Excellent written and verbal communication skills
- Excellent report writing and policy drafting capabilities
- Ability to execute multifunctional and cross-organisational assignments requiring in-depth compliance knowledge