FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Senior Compliance Monitoring & Advisory - Group - £70-85k

We are partnered with a global banking group who have an opportunity for a Senior Compliance Monitoring & Advisory to join their Central Services Compliance team based in London. This is an exciting opportunity to join a stable but dynamic team as an integral member. There is scope to advise senior stakeholders and establish strong working relationships with multiple business lines. Based in the City.

JOB TEXT

We are partnered with a global banking group who have an opportunity for a Senior Compliance Monitoring & Advisory to join their Central Services Compliance team based in London. This is an exciting opportunity to join a stable but dynamic team as an integral member. There is scope to advise senior stakeholders and establish strong working relationships with multiple business lines. Based in the City.

Key Responsibilities:

  • Responsible for the monitoring programme for multiple business lines and regulatory investigations.
  • Develop the annual monitoring and reviews plan.
  • Conduct desk based and thematic reviews in accordance with the plan, including scoping, testing and report drafting.
  • Assist with the annual update of the Compliance Risk Assessments.
  • Operational Risk Assessments.
  • Scoping and drafting tests and reports.
  • Track and validate the remediation of the issues identified during the reviews.
  • Conduct investigations, including electronic surveillance.
  • Assist in integration of the monitoring results with the wider risk framework.
  • Assist with the Compliance Risk Assessments harmonisation across business lines.
  • Participate in other change programmes, including integration of new systems and technology to enhance and further develop existing compliance processes.

Experience and Qualifications:

  • Appropriate experience gained in monitoring and reviews within a compliance function of a financial services institution.
  • Understanding of Private Debt Funds and Investment Banking, knowledge of the relevant regulatory environment and applicability to the business.
  • Understanding of private equity / private debt funds is desirable but not essential.
A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
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  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Charles Levick
  • 2019-05-20