International Banking Client
Office Status: Hybrid
Responsibilities:
- Supports Monitoring and testing Activities for Nikko Securities.
- Serves as a tester for all facets of compliance monitoring and testing engagements.
- Assists in the development and refinement of monitoring and testing scripts.
- Prepares information requests and announcement memoranda.
- Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.
- Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.
- Identifies underlying issues and escalation / validation thereof with clients.
- Drafts issue memoranda and reports for issuance to management.
- Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts
- Stays abreast of changing regulatory requirements and SMBC’s business model to maintain a solid foundation of the applicable regulatory framework.
- Assists in the consolidation and reporting of results within local and Head Office reporting.