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Compliance Monitoring VP

  • Location: London
  • Salary: Competitive
  • Job type: Permanent
  • Job reference: 166529
  • Sector: Banking , Banking
Job Description

My client is a Tier 1 investment bank and they are seeking a Compliance Officer to join the Monitoring team which is responsible for implementing testing programmes covering Compliance-owned risk types. They also perform routine testing of Compliance risk and advice management across all business lines to assess compliance with its regulatory conduct obligations.

 

Your key responsibilities will include supporting the annual monitoring and testing planning processes to ensure that all necessary testing coverage is identified and documented. You will also manage fieldwork including conducting testing to ensure the execution of reviews is in line with the annual test plan and Key Operating Procedures. Ensure effective issue management, involving follow up with the progress of mitigation plans, reviewing and validating issues proposed for closure and timely identification and escalation of concerns/slippage. Liaising with Line of Business Compliance to ensure effective scoping of reviews and prompt communication of concerns or escalation will also be involved.

 

They are looking for candidates with experience in compliance risk, audit, and monitoring and surveillance, including Fixed Income, Derivatives, Equities and thematic reviews. You will need strong knowledge of relevant FCA rules and regulatory change, including compliance processes and procedures. It is also important that you have experience of leading and training and work efficiently and collegiality within a team. This is a senior level role (VP), in a team of 6.

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