European Compliance Monitoring & Testing
The Global Investment Bank is seeking someone to join their London office with substantial compliance monitoring experience from within a financial institution ideally. They are looking for someone who will be able to work with their European offices to lead European Compliance Monitoring & Testing or Quality Assurance activities there.
European Compliance Monitoring & Testing key responsibilities:
- Complete risk assessments to drive the Compliance Monitoring Plan for Europe
- Lead and deliver compliance monitoring reviews that manage Regulatory and Conduct risk
- Work with Compliance and business colleagues to track actions plans to resolve issues identified with monitoring reviews
- Contribute towards the enhancement of the monitoring program (including planning risk based business monitoring, thematic reviews & deep dive outcomes investigations)
- Support the delivery of responses to internal audit and external regulatory enquiries
- Undertake ad-hoc projects and activities as required
- Substantial compliance experience within a financial services across Audit or Compliance Monitoring & Testing
- Proactive leadership and strong interpersonal skills
- Strong oral and written communication skills
- Ability to understand business needs and address conflicts
- Methodical with a risk based and strategic mindset
- Understanding of banking and securities laws and the UK Financial Services
If you would be interested in this Compliance Monitoring & Testing opportunity, please contact Emily Pearce on or .