Monitoring & Testing Analyst
Our client a Top Tier Investment Bank are looking to recruit a Senior Compliance Manager to join their Wealth management arm and be the Senior Testing and Monitoring member of the team.
Main Responsibilities;
• Design, develop and deliver meaningful reporting for business management, including identifying enhancements in current monitoring and testing;
• Oversee and review the execution of Compliance monitoring and testing programme;
• Oversee existing Compliance monitoring routines;
• Identify areas of emerging risk and design one-off thematic reviews to assess and address
• Execute reviews
The successful candidate will have;
• Experience of developing and delivering timely and relevant management information
• Experience of managing and delivering Compliance Monitoring and Testing Programmes
• Experience of Wealth Management
• Knowledge of current retail regulatory environment
• Ability to develop the monitoring and testing skill sets of field staff
• Knowledge of wider European regulatory environment
• Experience of delivering reviews in response to the FSA’s Suitability initiative
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