AVP Monitoring
A top tier Investment Banking firm seeks candidates with strong monitoring or Audit backgrounds to join their Compliance Monitoring team.
Compliance Monitoring takes the same diligent approach to reviews that audit would, but expands it to a more investigative approach on matters that relate to regulatory risk such as: Insider Dealing, Market Abuse, Breaches in Policy, Fraud, Gifts Entertainment breaches as well as learning about Financial Products
Responsibilities will include:
• Conducting compliance monitoring reviews and testing activities across the Corporate Banking division
• Conducting thematic reviews, quality assurance checking and testing across the business.
• Employing a range of investigative techniques including desk-based analysis, site visits and in depth interviewing.
• Escalating any identified breaches or material issues to senior management
Candidates should meet the following criteria:
• Strong monitoring or Audit background preferably within a Financial Services firm.
• Ideally an understanding of retail and corporate banking products / services and associated UK regulatory regimes.
• Good understanding of risk and control frameworks
• Ability to understand risks, issues and impacts and manage these.
• An interest in the political and regulatory environment related to large, complex financial services firms
• Strong analytical and report writing skills.
• Willingness to travel throughout the UK as required
Leave a Reply
You must be logged in to post a comment.