Compliance Testing Manager

Compliance Testing Manager

Location: Dublin, Ireland

Role Overview:

The Compliance Testing Manager, reporting to the Head of Compliance Testing will play a central role in planning, coordinating, and executing testing activities, working closely with relevant departments and senior stakeholders to assess compliance risks, evaluate the effectiveness of controls, identify areas for improvement, and support the organisation’s commitment to strong governance and regulatory compliance.

Compliance Testing is a key function within the broader Compliance framework, providing independent assurance that regulatory requirements, internal policies, and control standards are operating effectively.

About the Team:

The NBCGF Compliance team is a team of 11, and the testing function is a team of 2 with a Testing Manager and Head of Compliance Testing. The team is an independent second line of defence function responsible for overseeing compliance with applicable regulatory requirements, internal policies, and conduct standards across the organisation. The function provides advice, challenge, monitoring, testing, surveillance, financial crime oversight, and regulatory governance to support NBCGF's compliance framework.

The Compliance Team operates as a central oversight and advisory function and therefore interacts extensively across NBCGF. The Compliance Testing Team within the larger Compliance function provides independent assessments of compliance with regulatory requirements and the effectiveness of controls across NBCGF.

Main Responsibilities:

• Execute testing activities as an independent second-line assessment of compliance with applicable regulatory requirements, internal policies, and industry standards.
• Evaluate the adequacy and effectiveness of adopted processes, controls, and governance frameworks, identifying areas of non-compliance, control deficiencies, emerging risks, and opportunities for enhancement. Perform detailed testing, document findings, assess root causes, and provide practical recommendations to strengthen the overall control environment.
• Prepare comprehensive draft reports for relevant business lines and senior management, clearly communicating testing scope, methodology, findings, risk implications, and recommended remediation actions.
• Produce regular Management Information and reporting on the progress, outcomes, trends, and key insights arising from testing activities to support informed decision-making and effective risk oversight.
• Assist in the development, review, and maintenance of Compliance Testing Plans, testing methodologies, standards, procedures, logs, templates, and supporting documentation, ensuring alignment with regulatory expectations and best practices.
• Contribute to the continuous improvement of the Compliance Testing framework by identifying efficiencies, enhancing testing techniques, and promoting consistency across reviews. Assist in annual refresh of Key Compliance Testing documents.
• Provide input into the compliance risk assessment process, including the identification of key regulatory and conduct risks, to support the development of a robust and risk-based periodic testing plan. Collaborate with stakeholders to ensure testing priorities remain aligned with the organisation’s risk profile and strategic objectives.
• Maintain effective issue tracking, validation, escalation, and follow-up processes in line with established Compliance Testing Standards and issue management requirements. Monitor the timely implementation of corrective actions, assess the effectiveness of remediation activities, and provide ongoing challenge and oversight to ensure identified issues are satisfactorily resolved, and sustainable control improvements are achieved.
• Experience of working on Regulatory Reporting -Prudential and Transaction Reporting assurance on key Regs of MIFIR, EMIR, SFTR
• Experience on working on packs and interactions with the Central Bank of Ireland (CBI)

Skills and Experience Required:

We encourage applications from candidates who bring a diverse set of skills, experiences, and perspectives. The ideal candidate will possess:

• Minimum 10–15 years’ experience in Compliance Testing, Internal Audit, or a comparable assurance function within financial services.
• Excellent understanding of the risk assessment and control testing / assurance processes.
• Practical experience in performing testing/assurance in Second/ Third line/consultancy reviews
• Good analytical & problem-solving skills.
• Proficiency in Microsoft Excel, reporting tools, and data analytics solutions and presentations.
• Good communication/interpersonal skills.
• Preferably holds a Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Public Accountant (CPA) qualification (or equivalent professional qualification).

About Us:

NBCGF is a direct wholly owned subsidiary of National Bank of Canada (“NBC”). The main strategic purpose of NBCGF is to enable the NBC Group (“NBC Group,” meaning National Bank of Canada and all its subsidiaries) to grow and diversify its presence in Europe while allowing for a natural development of its existing business relationships and the establishment of new ones in the European markets.

NBC has over 150 years of history and is currently the 6th largest Canadian bank. Through its branch and subsidiary network, NBC can service clients throughout North America and Europe. NBC’s strategy is to further develop NBCGF as its hub for trading and financial services in Europe.

What NBCGF has to Offer:

Access to competitive working conditions, a wide range of employee benefits, and a dynamic work environment.

Open, respectful workplace where all employees can achieve their full potential.

NBCGF recognises that the culture of an organisation and the performance of its workforce are not mutually exclusive. Since our inception in 2013, NBCGF has worked tirelessly to ensure our cultural framework aligns not only with the Code of Conduct and Ethics of our parent company, NBC, but with our own environmental and local values.

Promoting and supporting diversity in the workplace is an important aspect of good people’s management- it’s about valuing everyone in the organisation as an individual. We at NBCGF have an effective diversity and inclusion approach concerning our employees. There are no silos in our teams and management strive to add value to our organisation, by contributing to employee well-being and engagement. NBCGF takes pride in its diverse work force, employing and cultivating professionals from all over the globe.

Working at NBCGF can take different forms and it is built around the relationship of trust between the employer and its employees. NBCGF operates a hybrid working model where the employee’s time can be split between the office and a remote location on a schedule which may vary. The model considers customer expectations, organisational needs, and constraints, as well as the employees’ need for flexibility and the nature of the work they perform. What is important is having the right arrangements in place so that you can best perform your role.

We're putting people first.

We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on people’s lives.

We want our recruitment process to be fully accessible. If you require accommodation, feel free to let us know during your first conversations with us.

We welcome all candidates! What can you bring to our team?