Compliance Monotoring Interim

  • £600 per day
  • London, England, United Kingdom London England GB
  • Temporary, Full time
  • LMA
  • 13 Jul 18 2018-07-13

Monitor the generation of new alerts generated in the Accuity, ACE and SAS screening systems and assist the Compliance Monitoring Manager in discounting, investigating and escalating alerts in line with the requirements outlined in the screening procedures.  Assist the Compliance Monitoring Manager in the creation of management information on Compliance screening activities – reporting on the volumes, status of alerts, material alerts escalated.

~~ Monitor the generation of new alerts generated in the Accuity, ACE and SAS screening systems and assist the Compliance Monitoring Manager in discounting, investigating and escalating alerts in line with the requirements outlined in the screening procedures. 
 Assist the Compliance Monitoring Manager in the creation of management information on Compliance screening activities – reporting on the volumes, status of alerts, material alerts escalated. 
 Support the Compliance Monitoring manager in the creation of a compliance monitoring plan (CMP) and development of compliance monitoring procedures, test scripts and other assurance templates.
 Actively participate in the planning, execution and reporting of compliance assurance thematic reviews in adherence with NBADLB compliance assurance procedures and Group compliance monitoring requirements – including the use and maintenance of the TeamMate system.
 Track implementation of corrective actions agreed with the business and undertake pre issue closure sustainability testing as directed by the Compliance monitoring manager.
 Perform other additional tasks as required from time to time as directed by the Compliance monitoring manager or Head of Compliance (UK).
 Maintain an open, transparent and effective relationship with internal and external stakeholders, including NBADLB business areas, Group Compliance, Group Audit and UK regulators.
 Complete all mandatory Compliance training within prescribed timelines.
 Monitor the generation of new alerts generated in the Accuity, ACE and SAS screening systems and assist the Compliance Monitoring Manager in discounting, investigating and escalating alerts in line with the requirements outlined in the screening procedures. 
 Assist the Compliance Monitoring Manager in the creation of management information on Compliance screening activities – reporting on the volumes, status of alerts, material alerts escalated. 
 Support the Compliance Monitoring manager in the creation of a compliance monitoring plan (CMP) and development of compliance monitoring procedures, test scripts and other assurance templates.
 Actively participate in the planning, execution and reporting of compliance assurance thematic reviews in adherence with NBADLB compliance assurance procedures and Group compliance monitoring requirements – including the use and maintenance of the TeamMate system.
 Track implementation of corrective actions agreed with the business and undertake pre issue closure sustainability testing as directed by the Compliance monitoring manager.
 Perform other additional tasks as required from time to time as directed by the Compliance monitoring manager or Head of Compliance (UK).
 Maintain an open, transparent and effective relationship with internal and external stakeholders, including NBADLB business areas, Group Compliance, Group Audit and UK regulators.
 Complete all mandatory Compliance training within prescribed timelines.
Undertake routine Compliance surveillance activities and participate in the planning and execution of assurance thematic reviews as directed by the Compliance Monitoring Manager. Assess the design and operational effectiveness of key controls and ensure compliance with internal /Group Policies & Procedures and local regulations