Compliance Monitoring and Testing

  • GBP50000 - GBP80000 per annum + bonus + benefits
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Robert Walters UK
  • 15 nov. 17 2017-11-15

A Global Investment Bank is looking for a Compliance Monitoring and Testing professional to join their Monitoring and Controls Testing Team. The role sits within the Compliance function and is based in London supporting the Markets business division across all products.

This role will require someone to work autonomously and support more senior members of the team undertaking reviews across the Markets business (front office) and test controls from a Compliance risk perspective. They are ideally seeking someone with Markets Audit or Compliance reviews experience.

Key responsibilities:

  • Identify the scope and testing approach for reviews
  • Conduct fieldwork in line with the agreed test programme and adequately document tests and findings
  • Develop recommendations for corrective action based on review findings
  • Write reports that present review results, articulate the rationale for findings, the risks posed and actions required to address those risks
  • Develop good working relationships with key stakeholders
  • Continue to educate the business on role of Compliance Monitoring and Testing team

Your experience:

  • Experience in Audit or Compliance Monitoring within Investment Banking/ Financial services
  • A thorough understanding of regulations and risks affecting the division
  • Recent experience of delivering compliance monitoring / internal audit reviews in a complex corporate environment
  • The ability to understand and interpret various laws, regulations, and policies
  • Strong investigative and analytical skills - enquiry, analysis, interviewing, testing
  • The ability to work independently and as part of a wider team with minimum direction

If you would be interested in this Compliance Monitoring and Testing opportunity, please contact Joe Johnston on joe.johnston@robertwalters.com or 0207 509 8489.