Associate, Compliance Testing & Monitoring

Posted 23 February by Randstad Financial and Professional Easy Apply
Do you wish to work for a leading financial services institution with a global presence and strong reputation to match? Are you a driven and ambitious individual wanting to be recognised for the commitment and enthusiasm you bring to your work?

About Our Client

Our client is a globally recognised provider of credit ratings, commentary and research headquartered in London and New York. Dedicated to providing value beyond the rating through independent and prospective credit opinions, our client offers global perspectives shaped by strong local market experience and credit market expertise. The additional context, perspective and insights they provide help investors to make important credit judgements with confidence.

The Opportunity

An exciting opportunity has opened up to take a key role in our client's compliance department on a permanent basis. Reporting into the Director of Compliance Testing & Monitoring, you will take responsibility for periodic reviews and testing designed to evaluate the effectiveness of the firm's controls and its compliance with the laws, rules and regulations applicable to credit rating agencies.

Key Responsibilities:

- Designing and executing test scripts for various risks and controls
- Interviewing employees to understand processes and controls
- Mapping processes and identifying risks and control weaknesses
- Performing analysis of different sets of data and preparing metrics
- Communicating testing results in meetings and written reports
- Working closely with the business lines to track corrective action plans

Preferred Skills & Attributes:

- Required: Solid auditing or testing experience within the financial services industry
- Knowledge of the securities laws or credit rating agency laws
- Understanding of information technology systems and standard system implementation methodologies
- Excellent analytical skills and ability to exercise sound judgement and escalate issues appropriately
- Collaborative, inclusive nature in solving problems and advancing priorities
- Fluency in Spanish or other European languages would be a strong plus

Want to find out more?

Call Matt McLaren on or email

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

Required skills

  • internal audit
  • risk assessment
  • compliance monitoring
  • compliance testing
  • risk & controls
  • monitoring & testing
  • control process

Reference: 34549473

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