Wealth Management - Compliance Tester, Director, Oversight, Monitoring and Testing

About the role

We're seeking someone to join our team as an Director in the Legal and Compliance division. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk.

What you'll do

• Responsible for executing risk-based compliance reviews across Wealth Management businesses, including E*TRADE
• Assisting in the preparation of test planning memoranda
• Identifying and evaluating key risks and contribute to establishing test scope
• Developing and executing tests in line with global monitoring and testing standards
• Leading walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues

What you need

• 5–9 yrs of experience
• Wealth management
• Compliance
• Internal controls
• Reporting
• Excel
• Investment banking
• Chartered Accountant

Good to have

• Risk management
• Audit
• PowerPoint