Job Description

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Core-Asset Consulting is delighted to be partnering with a leading financial services institution to recruit someone with experience of internal controls/audit and market surveillance knowledge to join them on a permanent basis in a brand new position.
Skills/Experience:

• Prior experience in an internal audit/internal controls role within financial services, with hands-on involvement in thematic reviews and control testing.
• Deep understanding of compliance principles, control applicability, testing programmes, results analysis and reporting.
• Strong knowledge of global markets, corporate banking, securities services and/or treasury products.
• Strong analytical skills with the ability to translate findings into clear recommendations.
• Experience designing effective risk-based testing approaches.
• Solid understanding of the UK regulatory environment and its application to banking.
• Excellent communication skills, both written and verbal, with the ability to articulate complex issues clearly.
• Proficiency in Microsoft Office and familiarity with specialist compliance tools.

Core Responsibilities:

• Contribute to the planning of independent testing and control activities, making use of RCSA outputs, incidents, regulatory updates and other relevant information.
• Take ownership of allocated sections of the annual testing plan.
• Perform testing, reviews and controls independently or with limited supervision.
• Apply a proactive and analytical approach to scoping, executing and documenting reviews.
• Maintain a complete audit trail covering all stages of review, testing, reporting and action-plan follow-up.
• Challenge first-line control frameworks, including control design, applicability, sampling methodology and rating approach.
• Deliver allocated testing reviews within agreed timelines and to required quality standards, ensuring adequate time for management oversight.
• Prepare high-quality reports summarising findings and agreed remediation actions.
• Liaise with stakeholders to reach agreement on recommendations and track actions through to completion.
• Contribute to testing activities performed by colleagues across different regions.
• Share and discuss control results with Compliance and business stakeholders.
• Escalate significant issues promptly to senior team members.
• Assist first-line teams in strengthening their control frameworks.
• Contribute to the planning of the annual testing plan by identifying relevant topics.
• Support ongoing improvements to the second-line control framework and methodology.
• Assist in responding to regulatory or internal audit enquiries.
• Support the training of team members where needed.

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.
Job reference: 16304
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.
INDPERM

Skills Required