Senior Compliance Monitoring Officer-VP Level-Investment Bank recruitment
Our client is the European investment banking division of a leading global financial services group with it's prime focus on the international capital markets.
We have been asked to source suitable and qualified candidates for a senior level compliance professional to join their dedicated compliance monitoring team.
Role
The Compliance Monitoring Team is responsible for developing an independent, risk based monitoring and testing program to assess the effectiveness of business practices, processes and controls to applicable laws, regulation, rules and internal policies.
In this role you will:
- Deputise for Head of Monitoring
- Assist with the development and design of the Compliance Monitoring Programme
- Plan and undertake independent reviews, preparing reports for management and key stakeholders
- Lead and provide assistance with ad-hoc reviews and assessments to required deadlines
- Mentor junior team members
- Work closely with a number of different business areas fostering a close working relationship with them.
You will have:
- Significant experience working in a similar role in an investment bank.
- Excellent knowledge of monitoring, surveillance and regulatory rules
- Experience planning and undertaking desk reviews
- Knowledge of capital markets financial products including debt, equities commodities would be an advantage.
- Experience working alongside audit functions ensuring sufficient controls are in place
- Strong Microsoft Office skills with a specific focus on Excel.
If you require any further information or wish to apply for this role please contact Mark Childs on either 01732 746668 or via e-mail on mark.childs@holmessearch.co.uk
