Compliance Officer- Risk Assessment and Review
Role: Compliance monitoring and reviews
Company: Tier 1 Investment Bank
Salary: £50,000 - £90,000 + Benefits + Bonus
Location: City of London
Senior Manager / VP up to £90,000 plus benefits
Manager up to £55,000 plus benefits
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 Investment 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:
. Must be from an Investment Bank
. Must have compliance Monitoring or audit experience
· 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
Strong Audit background preferably within a Financial Services firm.
· ACA / ACCA qualification preferred
There is very high demand and interest in the market for this position, If it is of interest or you want advice on your career and the current market please give me a call on 0203 465 0110
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