Senior Compliance Monitoring Managers
- You will be responsible for managing all components of a review to ensure that reviews are delivered to the expected quality within the agreed timeframe
- Qualify roles and responsibilities with the review sponsor and agrees review scope and approach
- Agree the recommendations action plan and timetable for implementation with the review sponsor
-Make constructive proposals to improve the effectiveness of the Compliance Monitoring review process
- Prepare Compliance reports to specified standards including format, style and timeliness with the need for minimal changes
- Conduct a quality review of the review evidence to ensure it supports the findings
- Provide clear and sufficient evidence to support recommendations and report opinion
- Ensure that critical findings are reported immediately to the sponsor as appropriate
- Contextualise findings and recommendations in relation to wider related risk, control and governance issues.
The preferred candidate will have proven Thematic Monitoring review experience within wither an Investment Bank of Global Markets role that has covered Investment Banking in addition to Private Banking and or Asset Management. You will have a complete understanding of the processes and competences required to complete a Compliance Monitoring review.
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