In contrast to many of its competitors, this Investment Bank is one of a few large global institutions that is benefiting from substantial growth across Europe at the moment, making it a very exciting and interesting time to join.
Headcount has increased significantly over the last 5 years as they continue to take market-share and expand operations into new areas. However, they have taken care to ensure their excellent culture has not been affected; staff satisfaction is something at the top of this Investment Bank's agenda, offering an excellent work life balance, down-to-earth culture and a friendly working environment.
This is a growing team who are looking for 2nd line of defence compliance monitoring or testing candidates or 3rd line compliance auditors who want to work autonomously on a range of compliance reviews. Specifically, your responsibilities will include:
- Help conduct second line compliance monitoring & testing as agreed in the Compliance Monitoring Programme including desk-based monitoring, thematic reviews and monitoring covering all departments to identify gaps in processes & procedures
- Carry out monitoring & testing reviews independently or in collaboration with other team members
- Create reports of completed reviews and monitoring activities
- Track and follow up of recommendations and actions
- Develop controls designed to ensure compliance with applicable laws and regulations
- Escalate regulatory and/or significant breaches to senior management
- Update stakeholders of review progress and findings with reports, meetings and presentations
- Conduct audit style reviews to test the effectiveness of compliance controls
To be considered for this job, you will have the following experience:
- Compliance monitoring, testing or audit experience gained working within financial services
- Strong knowledge and experience of audit or testing methodology
- Generalist compliance and regulatory knowledge is essential, preferably gain working within a central compliance function
- Experience working within Financial Services (Wholesale Banking, Asset Management or Consultancy) and good working knowledge of the UK regulatory environment is essential
- Knowledge of FCA rules and regulation is essential
- Excellent verbal and written communication skills
If you feel you have the relevant experience for this newly created opportunity, then please apply to this advert and send your CV to Jack Quaile at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.