Risk & Compliance Manager Resume Sample
Mae Wilderman
1037 Wilhelm Locks,
Chicago,
IL
+1 (555) 981 7907
Work Experience
Risk & Compliance Manager
04/2018
-
PRESENT
Houston, TX
- Proactively manage the firm’s ISO 27001:2013 Information Security Management System ensuring continual compliance and ongoing eligibility for annual recertification
- Monitor compliance with the firm’s HIPAA policies and procedures
- Recommend changes/enhancements to the firm’s HIPAA policy based upon the evolving threat landscape
- Coordinate the firm’s vulnerability management program
- Develop and manage the firm’s vendor risk management program
- Implement and ensure compliance with the organization’s compliance policies and procedures
- Uphold the compliance risk-based framework by identifying and assessing the effectiveness of controls in place via engagement with management and, where necessary, develop actions plans to address control deficiencies or gaps identified
- Advise business on compliance-related matters in day-to-day operations. Including providing solutions to business requirements to ensure continued business growth and success while adhering to regulatory and corporate requirements
IT Risk & Compliance Manager
02/2013
-
01/2018
Boston, MA
- Keep Regional Compliance, Local Management and relevant Committees informed and updated of all related compliance matters/issues, including escalating reportable compliance issues in accordance with set timeframes and requirements
- Liaise and coordinate with local regulators on compliance related matters, including as point of contact or coordinator for applicable regulatory examinations
- Collaborate and engage with stakeholders on the development and implementation of key business initiatives
- Ensure functional compliance budgets are managed in accordance with budget
- Clearing sanctions hits
- Coordinate as required with the Compliance Testing team and report its results and/or findings to Local Management or relevant Local Committees. Monitor progress of management actions plans agreed during the monitoring and testing
- Establish a compliance culture by instilling awareness in day-to-day interactions and also ensuring completion of the AIG Compliance training programs
- More than 5 years of relevant experience in Compliance, Legal or Audit; Preferably in an insurance company
- Experience in working for a multinational, diverse, matrix organization
Information Security Risk & Compliance Manager
12/2006
-
12/2012
San Francisco, CA
- Approachable, self-initiator, problem-solver with the ability to confront issues diplomatically
- Exceptional communication and interpersonal skills, with the presence and ability to interact and build credibility across all levels of staff
- A professional educational background; preferably legal or audit qualifications
- Identify IT compliance control gaps and oversee the documentation, implementation and testing of the entire IT compliance control portfolio
- Report the levels of IT compliance risk and control effectiveness to key stakeholders such as IT-operating area management, senior management, legal management, regulators, internal/external auditors, etc
- Provide technological advice and insight on compliance requirements to non-IT leaders such as the general counsel, compliance officer, etc
- Previous Operational Risk experience - ideally within a banking environment with an understanding of Finance, Accounting, Operations - e.g Big 4 consulting firm experience
Education
Utah State University - Orem Education Center
2001 - 2005
Bachelor's Degree in Computer Science
Professional Skills
- Creativity and innovation at conducting a high volume of risk analyses, report accurate and relevant risks to the appropriate constituents, and align initiatives to the core organizational mission of research and education
- Good interpersonal skills, with good negotiating and influencing skills at a senior level
- Strong oral and written communication skills, including confidence with presenting to senior stakeholders
- Skills in managing priorities and conflicting issues in a professional manner
- Excellent writing, documentation, and interpersonal communication skills
- Strong project management skills and ability to work independently or with others and adhere to strict deadlines
- Excellent analytical skills to evaluate root cause, optimal resolution point and portfolio analysis
How to write Risk & Compliance Manager Resume
Risk & Compliance Manager role is responsible for risk, security, reporting, analytical, leadership, interpersonal, compliance, organization, retail, finance.
To write great resume for risk & compliance manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Risk & Compliance Manager Resume
The section contact information is important in your risk & compliance manager resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Risk & Compliance Manager Resume
The section work experience is an essential part of your risk & compliance manager resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous risk & compliance manager responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular risk & compliance manager position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Risk & Compliance Manager resume experience can include:
- Excellent communication, negotiation, and leadership skills
- Demonstrated communication skills across cross-cultural boundaries
- Co-operate with the Supervisory Bodies, including during prior consultations under Article 36, and consult on any other matter
- Experience of working in a Financial Services company is essential with experience of working in a direct retail insurance business a clear advantage
- Analytical skills coupled with complex problem solving capability
- Prior financial or banking industry experience would be highly advantageous
Education on a Risk & Compliance Manager Resume
Make sure to make education a priority on your risk & compliance manager resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your risk & compliance manager experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Risk & Compliance Manager Resume
When listing skills on your risk & compliance manager resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical risk & compliance manager skills:
- Excellent communicator with strong written and oral communication skills
- Confidently using clear, professional and effective communication skills at all levels
- Strong presentation/reporting skills
- Strong negotiation skills and an ability to work with the business to find compliant solutions
- Strong risk management and IT security skills
- Strong interpersonal skills and ability to communicate at all levels of the Group
List of Typical Experience For a Risk & Compliance Manager Resume
1
Experience For IT Risk & Compliance Manager Resume
- Evaluate requests for exceptions to policies, ensuring sufficient mitigating controls are in place
- Be successful at influencing changes without direct reporting line authority
- Stay abreast of regulatory changes and their impact on IT requirements, including relevant DFARs and data privacy requirements
- Present policy recommendations to senior leadership, including business unit CIOs
- Participation in IT risk assessment activities across the organization, including 3rd party risk assessments
- Lead the annual PCI recertification for all campus units processing credit cards
- Assist in content development of IT and Information Security training and initiatives
2
Experience For Security Risk & Compliance Manager Resume
- Close collaboration with the Legal and Compliance Director to ensure that the necessary tools for compliance monitoring and oversight are implemented
- Proactively assess the need for policy changes as a result of changes to the IT environment, such as increased use of Cloud services or new mobile capabilities
- Ensure policies enforce alignment with security frameworks that include the NIST and ISO 27001/27002
- Assess the business impact of policy changes
- Participate in the ERM process
3
Experience For Information Security Risk & Compliance Manager Resume
- Proven experience applying sound program and project management methodologies and creating and applying process improvements Proven PM with relevant experience in large, complex organizations
- Professional qualifications (e.g. HKICPA, CPA, ACCA, CIMA, CIA)
- Assist in the management of the department’s Operational Risk and Compliance Plan
- Ensure WPP’s and Grey’s legislative and regulatory obligations are met
- Coordinate and execute all Grey’s SOX compliance
- Manage compliance with BlackRock’s safety management system policies, standards and procedures
- Coordinates with internal and external audit to facilitate audit requirements
- Assist in the facilitation of monthly, quarterly, and annual review activities
- Facilitate the remediation of IT control deficiencies
4
Experience For Global Treasury Risk & Compliance Manager Resume
- Contribute to the continued development of internal controls awareness within the organization
- Facilitation of IT SOX policies, narratives, and control self-assessment documentation
- Create and maintain IT control documentation and knowledge repository
- Participate in risk management, compliance, and internal control initiatives as needed
- Monitor the Quality team’s management of incidents for each business unit
5
Experience For Global Senior Risk & Compliance Manager Resume
- Manage the day to day functions of Georgia Tech's Risk Assessment Program
- Evaluate risks associated with the procurement of new IT products/systems and lead compliance assessments of third party service providers
- Assist units with remediation planning for current and future security vulnerabilities and ensure identified gaps have been appropriately addressed to mitigate or transfer risks
- Prepare and provide regular reports to keep appropriate leadership personnel informed of the operation of compliance efforts
- Take lead in the development of internal processes to streamline risk analysis techniques
- Identify and document specific security issues, propose resolution options, and interpret matters from the perspective of involved stakeholders
- Strong consulting skills with an ability to communicate with multiple departments and levels of management in order to resolve technical and procedural security risks
- Clearly communicate and report detailed status to senior management and peers
6
Experience For Operational Risk & Compliance Manager Resume
- Proactively engage various stakeholders in the business unit as appropriate to get their ‘buy in’ for security initiatives
- Implementation of MSD policies & procedures and of applicable Dutch laws, rules and (self-regulatory) regulations
- Primary point of contact and driver of compliance knowledge, awareness and implementation by employees to the fullest extent
- Monitoring and controlling that all business areas adhere to compliance standards and delivers on an ongoing basis continuous improvements to relevant processes
- Conducting the annual country risk assessments, identifying remediation activities and provide follow up and monitoring to this. Providing on a regular basis timely and accurate input to the compliance scorecard
- Ensures that new programs/initiatives are submitted to the “Innovatie Denktank” (ID) and where applicable to the Concept Review Board (CRB), helping the business to ensure that implemented programs adhere to MSD policies, procedures and guidance
- Answering questions, providing clarification and ensuring appropriate business approval of any exception requests
- Actively participates in the Pulse review to ensure that Pulse is a reliable and easy-to-use tool for all risk monitoring needs. Addressing and solving any hurdles which are faced
7
Experience For Payments Risk & Compliance Manager, Director Resume
- On a regular basis coordinate, conduct and drive monitoring and report out to the relevant stakeholders to address potential risks, in case of suspected policy deviations or outliers
- Execution and tracking process of all training activities
- Being point of contact for the audit team, coordinating data collection, conducting self-assessments and ensuring that audit remediation actions are implemented timely
- Supporting the Managing Director and Legal & Compliance Director in giving compliance messages in town halls, presentations, leadership meetings and cascading these messages in the organisation
- Ensure the business unit is aware of, and manages, its key risks through the operation of the group risk management framework and underlying processes including the adoption of the groups’ risk appetite and group risk policies
- Lead the appropriate governance structures to review and challenge the risk profile, directing business management to identify and address risk issues ensuring that businesses remain within the group risk appetite as well as providing an independent layer of analysis, review and challenge
- Provide independent challenge on key business unit initiatives, including new products, outsourcing/offshoring, re-engineering proposals and significant new projects
8
Experience For Senior IT Risk & Compliance Manager Resume
- Support the business in the comprehensive management, resolution and post-event analysis of risk incidents arising in the business, involving relevant divisional risk and group audit subject matter experts as necessary
- In respect of contract bids and planned acquisitions, help ensure the adequate assessment of the risks arising (in close liaison with the Group Risk & Compliance Bids and Acquisition team) and subsequent closure of risk actions logged for transitional action
- Form and manage effective relationships with other risk and governance professionals across Capita as well as externally to help share best practice as well as flagging emerging business, market and regulatory issues. E.g. Information security, health and safety
- Act as business unit lead and key contact, working with divisional risk & compliance, for activities to ensure business adherence to key group risk policies, including
- Experience leading a small team responsible for audit, privacy and compliance
- Maintain current list of software licenses for the products working in conjunction with sourcing to ensure compliance with contracts
- Financial Crime (Anti-Bribery & Corruption, Anti-Money Laundering, Fraud and Sanctions)
9
Experience For Regaional Risk & Compliance Manager Resume
- Develop and maintain policy and regulatory compliance registers and manage the review and reporting of supplier compliance performance
- Monitor ADIL’s compliance to regulatory obligations via oversight and testing to ensure full compliance
- Manage the Risk & Compliance and QA Team which includes the following team members
- Provide guidance and consulting within the organization on IT process, audit, control and risk
- Work with IT leadership and business groups in facilitating IT risk and compliance requirements
- PCI DSS Compliance (where applicable)
- Act as point of escalation for significant issues from the business to divisional risk & compliance
10
Experience For Risk & Compliance Manager / Analyst, Grey Resume
- Act as a central GDPR coordinator and adviser to the sub-business units, and represent Technology Solutions at divisional GDPR review meetings
- Act as a focal point for relevant ISO accreditations and renewals to ensure compliance and successful renewals where apropriate
- Help define and implement vendor risk and compliance strategies consistent with McDonald’s Technology strategic plans and customer requirements
- Monitor regulatory trends and evaluate how these trends impact Technology as well as existing and proposed vendor relationships; create action plans to address gaps
- Work with Technology senior leaders to establish a vendor risk management policy and associated rating methodology for assessing and managing IT vendor risk
- Provide internal risk and compliance expertise to Technology personnel and help prepare them for audits. Manage the representation of McDonald’s Technology to external and internal auditors
List of Typical Skills For a Risk & Compliance Manager Resume
1
Skills For IT Risk & Compliance Manager Resume
- Experience working with external auditors on compliance initiatives, or experience being an external auditor
- Exceptional verbal, written and presentation skills are required
- Relevant tertiary qualifications and Proven years of financial services experience in risk, compliance or audit
- Perform regular quality checks to confirm that key controls are operating effectively
- Proven ability to build strong, open and collaborative working relationships, including communicating with and influencing senior stakeholders
- 5-7years experience within banking and financial services with a strong understanding of all Retail and Business Banking processes and policies
- Min 6 years of relevant experience in sizable companies, preferably in Big 4 with internal audit experience
- Delivering both formal and informal presentations that are appropriate and on topic, demonstrate superior knowledge, and achieve intended results
2
Skills For Security Risk & Compliance Manager Resume
- Identifying practices that don’t adhere to defined compliance requirements and ability to prioritize highest leverage projects to remediate risk
- Build strong, open and collaborative working relationships, including communicating with and influencing senior stakeholders
- Knowledge of regulations and guidance documents governing computer system validation and handling
- Experience working in a global matrix environment and partnering with groups such as Internal Audit, HR, IT and Legal
- Public accounting experience in IT audit and planning, risk assessment and / or
3
Skills For Information Security Risk & Compliance Manager Resume
- Experience working on a defensive security engineering team as a security specialist desirable
- Accountable for the design and successful implementation of educational training programmes ensuring effectiveness and consistency throughout all divisions
- Experience managing multiple projects and support activities within a single job function
- Establish and maintain effective working relationships with all employees and management
- 4+years of experience in an accounting, internal controls or audit role
- Strong level of technical knowledge of the guiding principles and the spirit of the regulations
- Experience performing SOX 404 IT control / assessment work
- Previous experience leading a team to achieve success
- Strong appetite for digital tools and applications, advocating for continual process improvements
4
Skills For Global Treasury Risk & Compliance Manager Resume
- Contribute to cost effective, seamless and robust business operations by embedding the ANZ Operational Risk Management and Measurement Framework
- Demonstrate your analytical, research and problem-solving expertise
- Extensive experience working in large complex financial services company
- Perform technical testing of controls for assurance and validation of IT asset compliance
- Management of multiple simultaneous compliance initiatives and roadmapping requirements into a prioritized list of executable projects
- Experience building risk management programs for organizations
5
Skills For Global Senior Risk & Compliance Manager Resume
- Self-starter with the demonstrated ability to drive engagement and cooperation across de-centralized teams
- Proven ability to manage compliance programs/projects
- Strong attention to detail as it relates to data assessment and analysis and process discipline
- Accountable for an effective partnership with the Line of Business
- Experience with Archer Policy/Compliance Management tool
- Previous local Operational Risk & Compliance experience - ideally within Wealth Management / Financial Services at a senior level
- Solid knowledge of the Superannuation industry and relevant regulatory change
- Team closely with IT Security and Internal Audit to evaluate policy effectiveness
- Proven organizational leadership
6
Skills For Operational Risk & Compliance Manager Resume
- Experience in data discovery and remediation
- Experience with IT/Cyber Risk Assessment Methodologies such as NIST 800-171 and NIST 800-53
- Experience with SOX, OCC, and other regulatory requirements for financial organizations
- Assist in identification and implementation of activities to increase the efficiency and effectiveness
- Ensure adequate and effective IT controls exist to meet current and future security compliance requirements found in laws and regulations
- Maintain a compliance / controls tracking dashboard and metrics consolidating multiple compliance efforts (audit tracking and risk exceptions)
- Understanding of and familiarity with core IT elements including networking, operating systems, and enterprise and desktop software
- Supporting global Functional risk coordinators by raising relevant observations / concerns regarding how risk management is being performed in the Region
- Developing, presenting, and defending clear, concise, and relevant issues timely to client management
7
Skills For Payments Risk & Compliance Manager, Director Resume
- Understanding of technical concepts within security risk and compliance
- Understanding of business concepts and business process improvement
- Leading ad hoc Region-level risk engagement sessions as required
- Collaborating with cross functional teams in an oversight and SME capacity
- Understanding of business process controls, automated and configured controls
- Building a risk management program
- Advising account management team on to security/regulatory/compliance issues and providing expertise for security decisions/risk mitigation
- Assisting in security incidents and providing expertise in remediation efforts within a cross-supplier environment
- Acting as the audit focal and review artefacts for various audits such as MAS, ABS OSP and internal audit
8
Skills For Senior IT Risk & Compliance Manager Resume
- Managing the entire life cycle for audit
- Ensuring all personnel on the account adhere to both the customer’s and security policies and processes
- Advising account management team on information security issues and trends
- Providing audit project management
- Ensuring all personnel on the account adhere to both the customer’s and security policies and process
9
Skills For Regaional Risk & Compliance Manager Resume
- Driving implementation and compliance of security architectures for customer security
- Being the point person for maintaining and updating country requirements related to events, Fair Market Value determinations and aggregate spend thresholds
- Defining information security compliance requirements collaboratively with the Payments Compliance, Legal and Security teams
- Perform quality assurance to ensure appropriate policies, procedures, training and monitoring is in place and being complied with for strategic risk
- Able to work in teams, supporting colleagues in completing tasks, as well as working independently
- Provide sound Operational and Compliance risk advice to ANZ’s Retail & Business Banking (R&BB) unit, including Digital and Marketing
- Use initiative. Be proactive by taking action and be persistent and resilient in addressing issues
- Clearly communicating and tracking both risks and progress across projects
10
Skills For Risk & Compliance Manager / Analyst, Grey Resume
- Broad understanding of information security
- Work collaboratively to ensure risk and compliance is embedded in our way of working
- Provide guidance and training to teams
- Partner with Risk and other areas on RBC wide initiatives and knowledge sharing
- Participate in the independent risk assessment of the Company’s three-year strategic plan as part of the annual planning process
- Own, manage and maintain comprehensive risk profiles for IaaS by managing risk assessments independently in line with Barclays’ standards
- To be able to build positive working relationships within CAT and key stakeholders in the wider business
- Able to plan and manage own work load including delivery to deadlines, budgets and quality standards
- Earned the Crain’s Detroit Business “Largest Accounting Firms” in 2015
List of Typical Responsibilities For a Risk & Compliance Manager Resume
1
Responsibilities For IT Risk & Compliance Manager Resume
- Manage vendor audits, coordinating with other McDonald’s Technology functions as needed, for policy, financial, regulatory, technical, security and other risk-related areas of scope which contribute to McDonald’s vendor compliance and risk management objectives
- Effective time management with demonstrated ability to prioritise and progress multiple deliverables
- Demonstrated Experience and successful track-record working in international complex multicultural, cross functional environments
- Negotiation skills to obtain commitments to remediate risks and vulnerabilities from leadership of other teams
- Strong financial services experience in risk, compliance or audit with relevant tertiary qualification
- Combined experience in legal, finance or internal audit. Compliance related experience desirable
2
Responsibilities For Security Risk & Compliance Manager Resume
- Proven ability in developing and managing relationships with multidiscipline and multicultural teams
- Experience in documenting controls, policies, procedures or processes
- Very strong understanding of regulatory processes and policies
- Demonstrable experience in key control testing
- Able to build strong, open and collaborative working relationships. Able to use initiative
- Progressive risk and compliance work experience
- Provide effective, detailed Risk analysis and trend reporting throughout TJX Europe
3
Responsibilities For Information Security Risk & Compliance Manager Resume
- Experience in an accounting, internal controls, or audit role
- Experience in documenting controls, policies, procedures, or processes
- Relevant experience in a highly regulated environment
- Experience in a business oriented organisation
- Strong ability to lead cross-functional process and groups
4
Responsibilities For Global Treasury Risk & Compliance Manager Resume
- Works with the highest standards of business ethics and demonstrates personal commitment to achieve this
- Audit, process improvement, or change management experience
- Functional experience
- Related experience in data security administration
- IT experience
- Experience in risk and/or compliance management
- Computer literacy and a good knowledge of relevant software
- A good balance of technical, business, and project management acumen
5
Responsibilities For Global Senior Risk & Compliance Manager Resume
- Reporting any deviations from accepted policy or protocols to the Controller
- Assisting in the facilitation and development of a risk and compliance framework that is fit for purpose
- Providing risk and compliance advisory services in the context of day to day business activities and / or specific initiatives
- Understanding of operational risk and compliance
- Understanding and knowledge of, Service Now and related tools
6
Responsibilities For Operational Risk & Compliance Manager Resume
- Understanding of IT audit methodologies
- Maintain knowledge and understanding and the ongoing development of privacy compliance regulations including ePrivacy Regulation
- Support all divisions through the sourcing of appropriate localised resources, including external business partners and consultancies
- Perform reviews of managed services vendors’ services, projects and processes to identify risks and compliance issues on an ongoing basis
- Manage security incident response protecting corporate assets
- Create, manage, and promote information security and risk management awareness training programs
- Support the evaluation of risks and controls, particularly when evaluating the risk and control self-assessment results for high-risk systems and applications
- Oversee the Security Vendor Management Program to ensure 3rdparty relationships are managed according to best practice
- Compliance/Legal: pronounced understanding
7
Responsibilities For Payments Risk & Compliance Manager, Director Resume
- Knowledge of data processing systems and processes
- Directly reporting to the Group Controller
- Responsible ensuring compliance with Upfield risk limits and risk management policies
- Responsible for implementation of global compliance and risk projects relating to currency, interest rates and foreign exchange., 1 back Office Analyst
- Assist in tracking new audit or assessment issues and action plan timelines and work with business leaders to achieve desired results
- Assist in performing due diligence of third-parties in connection with its compliance programs
- Oversee/strengthen USAA Real Estate's User Developed Application (UDA) and Modeling governance programs
- Assist in the administration of USAA Real Estate's e-training and certification programs
8
Responsibilities For Senior IT Risk & Compliance Manager Resume
- Assist in stress testing, as needed
- Support for the maintenance of existing risk tools and the future implementation of a group wide single operational risk & compliance system
- Commercial awareness and capacity – understanding of financial services and financial advice
- Breadth of understanding across markets, competitors, regulatory environments, businesses and functions
- Support APAC BISOs in developing Regional and BU level IT security dashboard to help BU management to understand IT security risk exposure
- Liaise with Global Information Security in the global Cyber Risk Reporting project
- Broad understanding of Barclays’ strategy and business direction
9
Responsibilities For Regaional Risk & Compliance Manager Resume
- Broad understanding of IT environment (MS Windows, Active Directory, network devices, firewalls)
- Oversee and manage vendor compliance with regulatory requirements and McDonald’s policies for Technology
- Work with the Contract Manager to ensure that the VMO is in compliance with all McDonald’s records management initiatives
- Work with Technology leaders to ensure business continuity and disaster recovery standards, processes and practices are established, adhered to, tested and maintained
- Work with corporate procurement to determine business risk associated with contracting a specific set of managed services to a new vendor, or with contracting a new set of managed services to an existing vendor
- Manage vendor audits, coordinating with other McDonald’s functions as needed, for policy, financial, regulatory, technical, security and other risk-related areas of scope which contribute to McDonald’s vendor compliance and risk management objectives
- Work with the Contract Manager to ensure McDonald’s IT is in compliance with McDonald’ records management initiatives
- Establish software license management processes and procedures
- Work with Finance Manager to establish appropriate cost allocations are in place for software licenses and usage
10
Responsibilities For Risk & Compliance Manager / Analyst, Grey Resume
- Long-term accountability for information security compliance between and through annual audits
- Led multiple major cross-organizational initiatives, ideally in support of information security compliance (e.g. PCI, ISO 270001, HIPAA, SOC2, SOX). Specific experience working with engineering, legal, and finance is beneficial
- Manage all of the ADIL First line Risk, Quality Assurance and Compliance Functions and Controls
- Oversight and logging of risks identified within ADIL. Review and Escalation to ensure adherence to CPC and Data Protection timelines of said risks and errors. Performing in depth Root Cause Analysis & Trend Analysis in line with guidelines to mitigate further risk occurring
- A generous defined contribution pension scheme with an additional 8% also paid in on your behalf
- Exclusive access to discounts on Aviva Life and Insurance policies
- An excellent range of flexible benefits including, but not limited to, an approved profit share scheme, gym and health offerings, holiday loans and a cycle to work scheme
- Manage internal and external audits, preparing materials, and coordinating work
- Manage the client due diligence process which includes completion of client due diligence questionnaires and coordinate on-site assessments
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