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Compliance Monitoring

  • London
  • negotiable

Job Title: Assistant Vice President (AVP) – Compliance Monitoring

Job Description:

As an Assistant Vice President in Compliance Monitoring at our esteemed investment banking client, you will play a pivotal role in ensuring regulatory compliance and mitigating key risks associated with our business activities. You will assist in executing the Compliance desk and thematic monitoring programme, contributing to the overall integrity of our operations.


  1. Conduct Individual Reviews: Execute individual reviews as outlined in the annual compliance plan, adhering to established procedures and timelines.
  2. Risk Identification: Identify and assess key risks pertaining to regulatory compliance and business operations, proactively seeking opportunities for enhancement.
  3. Regulatory Research: Conduct thorough research to understand and interpret regulatory requirements relevant to review areas, ensuring adherence to pertinent laws and guidelines.
  4. Testing Plan Development: Collaborate in the development of comprehensive testing plans to assess compliance with regulatory standards and internal policies.
  5. Liaison and Documentation: Maintain effective communication with business staff, facilitating the collection and review of evidence. Document all work performed meticulously to ensure transparency and accountability.
  6. Findings Discussion: Engage in discussions with senior Compliance staff to communicate findings, insights, and recommendations derived from reviews.
  7. Report Preparation: Prepare detailed reports summarizing the outcomes of conducted reviews, including identified deficiencies, areas of improvement, and compliance status.
  8. Progress Monitoring: Assist in monitoring the progress of actioning review findings, tracking remediation efforts, and ensuring timely resolution of compliance issues.
  9. Relationship Management: Foster and maintain positive working relationships with internal stakeholders, promoting collaboration and a culture of compliance across departments.


  • Bachelor’s degree in finance, business administration, law, or related field. Advanced degree or relevant certifications (e.g., CAMS, CRCM) preferred.
  • Proven experience in compliance monitoring, preferably within the financial services industry or investment banking sector.
  • Sound understanding of regulatory requirements and compliance frameworks relevant to the financial sector.
  • Strong analytical skills with the ability to interpret complex regulations and assess their impact on business operations.
  • Excellent communication and interpersonal abilities, with the capacity to effectively liaise with diverse stakeholders at various organizational levels.
  • Detail-oriented approach with a focus on accuracy and quality in documentation and reporting.
  • Ability to multitask, prioritize workload, and thrive in a dynamic, fast-paced environment.
  • Commitment to upholding ethical standards and promoting a culture of integrity and compliance within the organization.

Salary: please message me for full salary details.

Hybrid working with an office in the city.

Please contact me with your CV

We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.

Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.

Nick Evans – Compliance

Executive Consultant

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