Compliance & Assurance Analyst Job at Lawrence Harvey (London)

Compliance Assurance Sr. Analyst

We are looking for a proactive and detail-oriented professional to join our TCCO...

Location

Philippines , Taguig

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

A minimum of 5 years of experience in a Technology Risk Management, Cyber Risk, Information Security, IT Audit, or a related controls-focused role.
Direct experience in performing compliance testing, assurance, or audits for technology and/or cybersecurity controls.
Strong understanding of the risks and controls related to End-User Computing (EUC) and associated data management.
Solid understanding of IT systems, networks, cloud services, security infrastructure, and system vulnerabilities.
Familiarity with regulatory requirements and enterprise risk management frameworks (e.g., COBIT, NIST, ISO 27001).
Demonstrated experience in the risk management lifecycle, including risk identification, assessment, mitigation, and reporting.
Excellent project management and organizational skills, with the ability to prioritize tasks and manage multiple initiatives effectively.
Strong analytical, problem-solving, and decision-making skills.
Bachelor's/University degree or equivalent experience.

Job Responsibility

Perform independent, full-scope, and targeted compliance tests on technology and cybersecurity controls to assess their design and operating effectiveness.
Conduct regular and comprehensive technology and cyber risk assessments, documenting findings and recommendations to reduce risk exposure.
Assess and test risks associated with End-User Computing (EUC), and IT enabaled Smart Solution (ITeSS) focusing on its principles, cycles and overall governance.
Independently evaluate technology and cyber risks within the business to ensure they are within the acceptable risk appetite, taking proactive measures to address areas of concern.
Build and maintain effective engagement with the 1st Line of Defense, business partners, and other key stakeholders to understand their risk profiles, strategic priorities, and challenges.
Provide expert guidance on technology and cyber risk mitigation strategies and control enhancements.
Participate in initiatives to augment technology and cyber risk management practices. Support the development and implementation of enhanced procedures and methodologies.
Ensure all technology and cyber risk management activities adhere to internal policies, external regulations, and industry standards.
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Analyze data to identify trends, emerging risks, and control gaps, providing timely recommendations to mitigate risk exposure.

What we offer

Programs and services for physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more.
Expanded Paid Parental Leave Policy.
Programs to manage financial well-being and help plan for the future.
Access to an array of learning and development resources.
Generous paid time off packages.
Resources and tools to volunteer in the communities.

Fulltime

AML Compliance Analyst

We are seeking an AML Compliance Analyst to support quality assurance and risk-b...

Location

United States , San Antonio

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Strong understanding of AML / Financial Crimes compliance
Risk-based decision-making frameworks
Proven ability to analyze large datasets and transactional activity
Identify anomalies, trends, and potential risk indicators
Experience with SARs, CTRs, KYC, and AML investigations
Case review, quality assurance, or audit-style environments
Advanced analytical, research, and critical thinking skills
Strong written and verbal communication
High attention to detail

Job Responsibility

Interpret and apply AML risk standards, guidelines, policies, and procedures across alert review processes
Perform quality assurance (QA) reviews to determine whether Compliance Alert Analysts appropriately cleared or escalated alerts
Conduct risk-based analysis to assess the adequacy of investigative conclusions and decision-making
Validate that required data has been accurately collected, documented, and supported including investigative findings, Suspicious Activity Reports (SARs), Currency Transaction Reports (CTRs), Know Your Customer (KYC) information, account and transactional data
Ensure all documentation meets regulatory and internal audit standards
Identify gaps, inconsistencies, or risk indicators within investigations and documentation
Analyze large volumes of data to support informed compliance decisions
Partner with compliance teams to ensure alignment with AML regulatory expectations and quality standards

What we offer

Medical coverage
Vision coverage
Dental coverage
Life insurance
Disability insurance
401(k) plan

Fulltime

Expert Sarbanes-Oxley (Sox) Compliance Analyst

The Expert SOX Compliance Analyst is tasked with gaining a thorough understandin...

Location

United States , Oakland

Salary:

118000.00 - 188000.00 USD / Year

PG&E Corporation

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Accounting or Business
7 years of accounting, public accounting, and/or auditing, to include experience performing SOX-related compliance.

Job Responsibility

Provide guidance and act as subject matter expert to team leads and business process owners on the identification, documentation, and testing of key controls for assigned highly complex business processes
Develop annual risk assessments for assigned business processes and provide ranking of controls based on impact to financial statements
Perform unassisted walkthroughs of complex business processes and identify gaps in controls
Assist testers in understanding methods of testing controls
Assist with the coordination of SOX audit work performed by the external auditors
Work with business process owners to ensure timely review, updates to process documentation, and controls for new and/or existing processes
Coordinating with assigned team leads to remedy identified exceptions and deficiencies
Evaluate control deficiencies in accordance with the company's framework for evaluating control exceptions, analyze aggregation of deficiencies, and conclude on the potential impact to the financial statements
Develop and deliver effective training on SOX policy and procedures
Assist with the identification and test plans for entity level and fraud controls

What we offer

Discretionary incentive compensation programs

Fulltime

Senior Quality Assurance Analyst

The Senior Quality Assurance (QA) Analyst will report to the QA project manager ...

Location

United States , Albany

Salary:

70144.00 - 135000.00 USD / Year

NTT DATA

Expiration Date

Until further notice

Requirements

Bachelor's degree in Information Technology, Business Administration, or related field
5+ years of experience managing requirements
5+ years of experience preparing Business Process Design documentation using BPMN 2.0 and related models
5+ years of experience with business process models and or use cases
3+ years of experience in quality assurance or auditing, conducting reviews of various system development life cycle documentation, and project and technical architecture design artifacts against pre-defined processes, standards and criteria
3+ years of experience working with the Medicaid data warehouse using reporting tools and performing analysis using SQL
Experience working with teams of five or more staff
Must be able/willing to be onsite 50% of the time at the client in Albany, NY

Job Responsibility

Assessing the quality of contractor submitted SDLC deliverables for adherence to contractual and functional requirements, including identification and documentation of QA issues and recommendations related to the implementation and maintenance of the MDW technical architecture
Providing constructive feedback to ensure that system functionality will meet user needs
Reviewing MDW contractor project artifacts throughout the system development life cycle for quality, compliance, and completeness, documenting the observations and findings using standard checklists and comment matrices
Artifacts reviewed include, but are not limited to: Functional Requirements Documents (FRDs), Project Assessment (projected hour estimates), Project Design Documents (PDDs), Project Change Requests (PCRs), Requirements Traceability Matrices (RTMs), Test Packages, and Billing Invoices
Reviewing Disaster Recovery Plan and Testing, vendor Technical Design Documents (TDDs), Transition Plan and Deliverable Expectation Documents (DEDs)
Performing technical reviews for appropriateness of change request assessment hours
Reviewing vendor service level agreement (SLA) compliance
Contribute to establishing and enhancing QA standards, frameworks, and procedures for business analysis and business process improvement

What we offer

medical insurance
dental insurance
vision insurance with an employer contribution
flexible spending or health savings account
life and AD&D insurance
short and long term disability coverage
paid time off
employee assistance
participation in a 401k program with company match
additional voluntary or legally-required benefits

Fulltime

Controls and Compliance Analyst

We're looking for a passionate and technically strong Controls & Compliance Anal...

Location

Australia , Sydney

Salary:

Not provided

My NRMA

Expiration Date

Until further notice

Requirements

Tertiary qualifications in a relevant discipline, with progress towards a professional qualification (e.g. CA, CPA or CIA)
4+ years' experience in compliance, audit & assurance, or control testing
Strong business acumen and analytical capability, including process mapping and control analysis
Experience working with ERM systems (Protecht experience highly regarded)
High-level process mapping experience and strong documentation skills
Proficiency in Microsoft Office, including Visio
Confidence adapting quickly to new systems and tools, including AI Copilot
A high level of integrity, objectivity and accountability, with a strong outcomes focus

Job Responsibility

Support the implementation and ongoing maintenance of the Group Compliance Framework, including compliance obligations uplift and reporting
Assist with setting up compliance obligations, risks, controls and action plans in the ERM system (Protecht)
Coordinate compliance reporting for senior forums, including monthly CEO reporting and quarterly Audit & Risk/Audit Committee reporting
Support business units and compliance SMEs to understand and meet requirements under the Compliance Policy and Framework
Manage the Group policy lifecycle, working with policy owners on reviews, approvals, publication and governance routines
Maintain current policies and supporting artefacts on the intranet and support clear compliance communications and awareness activities
Provide day-to-day analytical and administrative support including meeting coordination, action tracking and stakeholder follow-up
Assist with control and process reviews, control testing and issue management as required
Support business continuity governance activities when needed

What we offer

Progressive flexibility and well-being benefits to balance all of life's priorities
Complimentary myNRMA Rewards membership including discounts on fuel, groceries, movie tickets, gift cards, gym memberships, attractions, restaurants and much more
Employee referral program where you may be eligible for a referral bonus of up to $2,000
Potential to grow, progress or relocate your career and move around the NRMA Group or different locations with us

Fulltime

AML & Compliance Analyst

Location

Congo, the Democratic Republic of the , Kinshasa

Salary:

Not provided

Vodafone

Expiration Date

Until further notice

Requirements

5 year bachelor degree or 3 years bachelor degree
Strong analytical and investigation skills
High Computer literacy
SQL and PL/SQL Scripts, Elaborate reports & presentation, Use of AI and Machine Learning
6 Months experience in Compliance, Mobile Money, Electronic Banking, Revenue Assurance, Fraud, Internal Controls, Investigations, VAS or Audit in telecom/banking environment
Understanding of Mobile Money system functioning
English & French

Job Responsibility

Identify actual and potential money laundering, terrorism financing, proliferation financing or Illegal Wildlife Trade activities
Lead appropriate actions to stop and prevent fraud, money laundering, terrorism financing, proliferation financing or Illegal Wildlife Trade activities
Conduct Compliance Review, Analysis, Screening, Monitoring and deep investigations
Ensure that all stakeholders are complying with all applicable laws, policies and procedures
Identify fraudsters or people involved in suspicious activities related to financial crimes
Ensure that all Customers and Business KYC are compliant through a quality assurance process on KYC and Due Diligence
Conduct investigation and analysis on watchlist screening and transactions monitoring escalated alerts
Ensure Cases lifecycle, SAR and ST Register Management on escalated cases for investigation
Ensure monitoring of Betting & Gaming companies
Manage Customer Risk Profiling

Fulltime

Quality Assurance Analyst

The Quality Assurance Analyst (QA) plays a key role in maintaining and enhancing...

Location

United Kingdom , Birchwood

Salary:

Not provided

360 Resourcing Solutions

Expiration Date

Until further notice

Requirements

Experience in Quality Assurance, Compliance Monitoring, or Operational Quality roles, ideally within a regulated or customer-centric environment
Knowledge of Safer Gambling, Customer Due Diligence (CDD), and Customer Service quality standards
Understanding of complaints handling processes and associated regulatory or customer experience requirements
Exceptional attention to detail with strong analytical and problem-solving skills
Skilled communicator with the ability to provide clear, objective, and constructive feedback to drive improvement
Strong organisational skills and the ability to manage multiple priorities and deadlines
Competent in using data and reporting tools to produce and interpret QA MI
Proactive and collaborative mindset, with a genuine passion for quality, compliance, and customer experience

Job Responsibility

Work with Compliance Operations and Customer Service Team Managers to ensure the required volume of QA checks are completed, covering Safer Gambling, CDD reviews and interactions, Customer Service contacts, and Complaints handling
Support the creation, enhancement, and delivery of a robust QA plan, ensuring the structure and approach to Quality Assessment across the operation is consistent and effective
Establish and maintain strong relationships with key stakeholders across Compliance, Customer Operations, and supporting teams to enable collaboration and meaningful feedback
Track, monitor, and report on actions and recommendations arising from QA activity, ensuring owners complete them effectively and on time
Ensure all QA assessments and records are completed accurately, consistently, and within agreed timeframes
Provide stakeholders with clear and insightful QA reporting, highlighting key findings, recommendations, and overall adherence to internal standards and the wider regulatory environment
Collaborate with the Training and Knowledge Base Manager to identify training needs and support the delivery of new or refresher training
Produce monthly QA Management Information (MI) where requested, for submission to relevant forums, committees, and governance meetings
Identify, assess, and escalate any compliance, conduct, or operational risks in a timely and appropriate manner
Maintain an up-to-date understanding of relevant regulatory requirements, including data protection, anti-money laundering (AML), safer gambling, complaints handling, and customer contact regulations

Fulltime

Quality Assurance Analyst

Step into a role of Quality Assurance Analyst at Barclays, where you’ll take res...

Location

India , Noida

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Proven experience in an AML Financial Crime Operations and Quality Assurance role
Good knowledge and understanding of the legislation that affects our clients (including the Data Protection Act, Companies Act, Insolvency Act, Financial Services Act, Money Laundering and confidentiality regulations)
Knowledge of AML, PEPS and Sanctions Policies
Knowledge of the roles and business activities carried out by other teams in Financial Crime as well as across other business functions with an understanding of how these relate to the AML Financial Crime Analyst role and business activities
Prior experience with using computer systems (such as Full Serve, Mantas, Edocs, QMS and Frauds3) would also be valuable
Have a strong understanding of investigations and decision making
Time management skills: must manage workloads effectively to complete complex and high-priority tasks within target timescales
Excellent written and verbal communication skills

Job Responsibility

Take responsibility for operational execution task
Take responsibility for controlling risk and enhancing controls in connection to your job and areas of responsibility in accordance with rules and regulations
Follow well defined procedures that may require a range of job routines and make judgement based on practice and previous experience
Identification of industry trends and developments to implement best practice in quality assurance Services
Collaboration with teams across the bank to align and integrate quality assurance processes
Development and governance of internal quality assurance procedures, standards and specifications, and act as a catalyst for change, mitigate risks and maintain efficient operations
Development of reports and presentations on quality assurance performance and communicate findings to internal senior stakeholders
Identification of areas for improvement and providing recommendations for change in quality assurance processes and provide feedback and coaching for colleagues on these highlighted areas
Execution of service quality assessments to monitor the quality objectives set by the bank, and ensure they comply with regulatory requirements
Participation in projects and initiatives to improve quality assurance efficiency and effectiveness

What we offer

Health and wellness access to wellness rooms, gyms and mental health support
A place where you can belong
Collaborative areas
More than work from socialising to sports, from community events to volunteering
Be you. Be valued. Belong.

Fulltime

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Compliance & Assurance Analyst

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