Compliance Independent Assurance Jobs

VP, Risk Management Independent Assurance Officer

The RMIA Officer will assist RMIA Senior Officers and Head of RMIA Governance in...

Location

Canada , Mississauga

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

7+ years of experience in Risk Management
Knowledge of Internal Audit or Compliance methodologies and approaches
Bachelor’s degree or higher
Leadership – independently lead projects and assignments
Program and project management skills
Strong communication, interpersonal and negotiation skills
Risk Management and controls framework knowledge
Understanding of quality assurance/control practices and approaches

Job Responsibility

Assist in providing oversight of Independent Assurance activities across Risk stripes
Perform review and challenge of coverage plan components and scope of reviews across Risk stripes
Conduct periodic quality assurance/control reviews across Risk Stipes
Perform annual testing and monitoring over select Risk-owned Tier 1 Regulations
Assist in quarterly and ad-hoc program level reporting
Establish relationships with key contacts across Risk stripes and lines of defense

Fulltime

SVP, Risk Management Independent Assurance Senior Officer

The RMIA Senior Officer will provide oversight of L0/L1 Risk stripes’ (e.g.; Who...

Location

Canada , Mississauga

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

10+ years of experience in Risk Management
Knowledge of Internal Audit or Compliance methodologies and approaches
Bachelor’s degree or higher
Leadership – independently lead projects and assignments and manage all contacts involved to ensure successful delivery and completion
Program and project management – ability to work towards the greater goal, execute on, and closely monitoring details of sub-steps in the overall project and deliver on time
Demonstrate strong communication, interpersonal and negotiation skills – proven written and verbal communication is key given the various level of management interaction required
Evolving interpersonal skills, with the ability to build relationships and exert influence with and without direct authority
Strong Risk Management (various disciplines) and controls framework knowledge
working knowledge of Citi policies is preferred
Understanding of quality assurance/control practices and approaches

Job Responsibility

Provide oversight of Independent Assurance activities across Risk stripes, including tracking of annual coverage and adherence to RMIA Standard and Procedure
Perform review and challenge of coverage plan components and scope of reviews across Risk stripes, ensure effective testing of design and execution of risk controls
Conduct periodic quality assurance/control reviews across Risk Stipes
Perform annual testing and monitoring over select Risk-owned Tier 1 Regulations (e.g. Legal Lending Limits) and ensure that any identified deficiencies are appropriately remediated
Assist in quarterly and ad-hoc program level reporting, including metrics and trends, and provide periodic updates to Head of RMIA, governance groups, Internal Audit, and Regulators, as required
Establish relationships with key contacts across Risk stripes and lines of defense to enable success in program implementation and overall collaboration

Fulltime

Vice President Compliance Assurance

HSBC is seeking an experienced professional to join as Vice President Compliance...

Location

India , Hyderabad

Salary:

Not provided

HSBC

Expiration Date

December 31, 2025

Requirements

Experience in financial services compliance, testing, audit and/or legal management experience or equivalent
Excellent understanding of financial crime and/or regulatory compliance and/or the aptitude to develop this understanding in good time, and must be familiar regarding relevant regional laws, regulations and the overall regulatory environment
Experienced people manager, with excellent communication skills, a polished management style, and a proven track record of leading through change
Proven ability to question, evaluate, and improve existing business processes and adequacy of information
Experience working with local and regional stakeholders and an understanding of global standards of quality
Minimum Bachelor’s degree in related field such as business, finance, law or equivalent experience
Master’s degree preferred
Requires understanding of the changing regulatory landscape regarding compliance functions within the banking industry
Broad knowledge of banking and a good understanding of all significant regulatory compliance requirements applicable to a CoE
Experience developing assurance automation and analytics tools preferred

Job Responsibility

Play a lead role in executing the Compliance Assurance assessment plan, ensuring the accurate, efficient and timely completion of independent FC and/or RC control assessments
Oversee (where applicable) the quality of work delivered by testing teams and ensure compliance with global template, procedure and quality requirements
Understand and document the remit, process composition and team handovers of relevant controls
Proactively monitor FC and RC risks to identify key emerging trends and themes to inform the Compliance Assurance assessment plan and the continuous development of CA methodology and procedures
Evaluate and manage the allocation of resources on an ongoing basis to ensure completion of assigned risk and control assessments
Build strong relationships with all internal stakeholders, adopting a joined-up approach to the execution of tasks with minimum conflict, while ensuring the independence of Compliance Assurance
Develop and maintain positive and professional relationships with key external stakeholders, where required
Ensure that executive and senior management in the business, functions and Compliance are advised of matters arising, and emerging trends, from assurance reviews and analysis
Provide stakeholders with insight into Compliance Assurance activities
Liaise with Internal Audit to ensure that assurance activities and plans take full consideration of and inform audit activity.

What we offer

Flexible working
Opportunities to grow within an inclusive and diverse environment
Equal opportunity employer.

Fulltime

Compliance Assurance Officer

Serves as a senior compliance risk officer for Compliance Independent Assurance ...

Location

Mexico , Ciudad De Mexico

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
Understanding of rules, laws, and regulations, and specific regulatory requirements
Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
Effectiveness in working within a large scale and complex matrix organization is essential
Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
Knowledge of Compliance laws, rules, regulations, risks and typologies
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization

Job Responsibility

Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs within an assigned region in accordance with the Compliance Assurance (CA) Plan
Participating in the planning, executing, and reporting of compliance assurance reviews and compliance and regulatory issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CA Plan
Analysing and documenting report findings, and having preliminary discussions with corresponding control/process owners
Assisting with development of Compliance Assurance Risk Assessments, Monitoring Monthly, and Quarterly Summaries and the development and enhancement of the Compliance Assurance Methodologies and Standards for auditing, testing, monitoring, and reporting
Utilizing innovative compliance testing solutions including Data Analytics to increase value and reduce costs of compliance-related activities
Developing effective relationships within CA function and with other stakeholders including Business process owners and Internal Audit function
Identifying industry best practices and share insight with the CA teams on a regular basis
Informing CA management of significant compliance matters that require their attention or action
Identifying compliance training resources and tools available centrally to support country/business compliance programs training and research needs
Additional duties as assigned

Fulltime

Quality Assurance Advisor

Partnering with a global insurance leader you will be joining a team of diverse ...

Location

United Kingdom

Salary:

40000.00 GBP / Year

Lawes Consulting Group

Expiration Date

Until further notice

Requirements

Compliance track record
Insurance background ideal
Knowledge of the FCA handbook related to Appointed Representatives
Ability to build firm and credible relationships
Cert CII qualified or willingness to work towards
Strong written and verbal communication skills
Excellent sales, negotiation, and analytical abilities
Proficiency in IT and MS Office proficiency

Job Responsibility

Building relationships with key stakeholders in the business
Lead the independent oversight and monitoring of the UK Retail Appointed Representatives
Assist with FCA reporting requirements
Review and update team documents
Travel to meet Appointed Representatives across the North
Collaborate with branch and partner Assurance teams to establish and document oversight

Fulltime

Quality Assurance Advisor

Partnering with a global insurance leader you will be joining a team of diverse ...

Location

United Kingdom , Glasgow

Salary:

40000.00 GBP / Year

Lawes Consulting Group

Expiration Date

Until further notice

Requirements

Compliance track record
Insurance background ideal
Knowledge of the FCA handbook related to Appointed Representatives
Ability to build firm and credible relationships
Cert CII qualified or willingness to work towards
Strong written and verbal communication skills
Excellent sales, negotiation, and analytical abilities
Proficiency in IT and MS Office proficiency

Job Responsibility

Building relationships with key stakeholders in the business
Lead the independent oversight and monitoring of the UK Retail Appointed Representatives
Assist with FCA reporting requirements
Review and update team documents
Travel to meet Appointed Representatives across the North
Collaborate with branch and partner Assurance teams to establish and document oversight

Fulltime

Risk & Assurance Lead

As a key member of the Governance and Corporate Services Team at B&D Reside, the...

Location

United Kingdom , London

Salary:

60000.00 - 65000.00 GBP / Year

Allen Lane

Expiration Date

Until further notice

Requirements

At least 5 years’ experience in a risk, compliance, governance or assurance role, preferably within a housing or public sector environment
Experience of leading the development of a comprehensive organisational risk model and appropriately managing potential risks across the organisation
Demonstrable experience maintaining or supporting the operation of a risk register and internal control framework
Understanding of housing-related risks and regulatory responsibilities, including health and safety, building compliance and data protection
Excellent organisational and administrative skills with high attention to detail
Strong written and verbal communication skills with the ability to liaise across departments
Confident using Microsoft Office (Excel, Word, PowerPoint), and experienced in working with data and documentation
Ability to manage competing deadlines and work independently with a proactive and solutions-focused approach
Commitment to confidentiality and professionalism, particularly when handling sensitive risk or audit issues

Job Responsibility

Lead the development of a comprehensive organisational risk model for B&D Reside Group, mapping key risk areas across strategic, operational, financial, and housing service functions
Maintain and co-ordinate updates to B&D Reside’s established corporate risk register
Act as the first point of contact for internal queries relating to risk, assurance, and compliance matters
Support the monitoring and implementation of internal audit actions
Co-ordinate annual assurance activities, including regulatory self-assessments, regulatory returns, fraud risk reviews, and compliance declarations
Maintain accurate records and logs relating to internal controls, legal and regulatory compliance, and audit findings
Support the organisation’s approach to managing key housing-related risks, including health and safety, building safety, safeguarding and data protection
Create and Manage fraud log, support investigations where required
Contribute to the preparation of governance and assurance reports for senior leadership, Board, and Committees
Assist in the implementation and use of digital risk and compliance management systems

Fulltime

Compliance Coordinator

We are looking for a Compliance Coordinator, supporting the compliance function ...

Location

United Kingdom , Kettering

Salary:

35000.00 GBP / Month

Wallace Hind

Expiration Date

Until further notice

Requirements

Proficient in Microsoft Office with strong overall IT skills
Excellent in both written and verbal communication skills
A positive, proactive attitude with strong interpersonal skills
Highly organised and self-motivated, capable of managing multiple tasks and priorities independently

Job Responsibility

Support the implementation and review of compliance policies and processes
Assist in delivering compliance training for new starters and ongoing sessions for all staff
Help manage compliance projects, ensuring key tasks are completed and teams are aligned
Help ensure the business maintains FCA authorisation, including thorough audits and on-site visits
Provide regular reports and updates on compliance findings and improvement plans to senior management

What we offer

25 days annual leave, increasing with length of service
Life Assurance – x3 annual pay
Pension contributions
Benefit portal including discounts and other schemes
Onsite gym

Fulltime

Compliance Independent Assurance

Citi

Location:
India, Mumbai

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
September 17, 2025

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VP, Risk Management Independent Assurance Officer