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Our Compliance, Conduct and Operational Risk ("CCOR") organisation is at the forefront of managing risk in a complex and changing regulatory environment. Joining our department, you'll help to safeguard the firm's business by developing solutions that balance risk and regulatory requirements with the firm's business needs.
Our Compliance teams work globally, across all lines of business. Compliance is part of the 'second line of defence' and is a critical part of the firm's control framework. You'll provide input on new business strategies, product lines, policies and education, operational processes, risk mitigation and control.
The Quality Assurance ("QA") Team is an integral part of the controls environment within Compliance and is responsible for conducting a continuous testing program against internal procedures and regulatory requirements to ensure quality, completeness, and accuracy.
In particular, the Quality Assurance Tester (QA) will perform targeted reviews; summarize results, and present to stakeholders. The QA will be expected to determine gaps in process and procedure; question integrity of data and adherence to processing and servicing standards, policies and procedures. The QA will be accountable for analyzing issues, improving business processes and providing recommendations for improvements. In addition the QA team reviews, on a sampling basis, cross-team testing across corporate and transaction streams.
Responsibilities:
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