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

Ms·Mumbai

Pay not stated5–9 yrsFull-time
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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
  • Compliance
  • Wealth management
  • Internal controls
  • PowerPoint
  • Documentation
  • Investment banking
  • Chartered Accountant

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