Senior Control Testing Analyst, Commodities Trading

  • Contract
  • London
  • Rate: c. £300 - £400 Per Day
  • Reference: J19560

Purpose and Accountabilities:

Reporting to the Manager Assurance & Testing, the Senior Analyst Control Testing is part of the T&S Compliance Assurance and Testing team, within T&S Compliance.

The T&S Compliance Risk Assurance & Testing team has global responsibility for:
• Completion of Compliance Risk Assessments to allow LOD1 to gain an understanding of their Compliance Risk profile and to determine any actions necessary to reduce the level of risk identified.
• Maintaining and execute a framework of assurance activities to enable evidence of compliance by LOD1.
• Execute all Compliance assurance activities and reviews;
• Execute LOD2 Compliance Controls Testing and provide SME support to LOD1 for Compliance Control testing.

The Senior Compliance Controls Analyst will be expected to:
• Conducting compliance control testing for LOD2 compliance controls.
• Documenting controls testing outcomes and recommendations on areas of remediation.
• Provide SME support to LOD1 for Compliance Control testing.
• Partner as a Control testing SME with other parts of Compliance and other Functions, including Businesses (BIAMs), Operational Risk, SECO, Risk Task Force and Audit.
• Assist with development and maintenance of control testing methodology and procedures.
• Assist with identifying and managing areas for improvement for controls.
• Develop and maintain team procedures and processes (SOPs).
• Assist with developing and maintenance of team KRIs and KPIs.
• Be an active and effective member of the Compliance Assurance and Testing team.

Identify and manage continuous improvement opportunities Dimensions:
• Scope
o No direct reports
o Focus on Control Testing component of compliance framework
• Stakeholders
o Engagement with multiple (groups of) stakeholders on an operational level
o Level of stakeholders JG4-JG3
• Impact
o Limited impact if something goes wrong
o Impact on global processes of low to medium complexity
o Multiple initiatives within single process
o Short term influence
• Complexity
o Global scope across all T&S businesses.
o No Integrator role
o Influence single process
o No project work required
o No influencing of senior stakeholders
o Medium effort on continuous improvement
o Limited effort to develop new areas with no precedents

Skills and experience:
• Experience with controls and control testing required.
• Strong understanding of 3LOD and role of compliance.
• Understanding for control frameworks.
• Understanding of compliance risks.
• Robust written and verbal communication skills.
• Demonstrated ability to collaborate and work effectively in a team.
• Ability to deliver the work as assigned, applying the work procedures, frameworks.
• Demonstrated stakeholder management skills. Ability to manage multiple (groups of) stakeholders on operational level.
• Demonstrated ability to work to tight deadlines and prioritise work under pressure.
• Pro-active and flexible approach.
• Compliance is a foundation of the way in which T&S does business and therefore integrity is one of the fundamental values that we are seeking as part of the Compliance team.

We believe integrity is the hallmark of a person who demonstrates sound moral and ethical principles during their work. Integrity is the foundation on which coworkers build relationships, trust, and effective interpersonal relationships. It is essential that the successful candidate will be able to give clear examples of integrity as one of their core values.

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