Compliance Monitoring

London, England, United Kingdom

The Opportunity

To become a member of a global Investment Bank that is currently in growth mode comparative to its peers. The Bank in question has a great working culture and prides itself on work life balance. The successful candidate will be a sitting within the Central Compliance division and will be responsible for Compliance Monitoring program reporting to the Global Compliance Monitoring Manager.


The Role & Responsibilities include (but are not limited to):


  • Assist with Central Compliance Reviews across the EMEA network.
  • Undertake business line system testing and effectiveness and design.
  • Formally document review findings and escalate Compliance reports following the quality assurance process.
  • Plan and manage testing programs through cross-unit stakeholder engagement.
  • Contribute to the foundation of a risk based Central Compliance Management Information structure.

What they are looking for - consideration will be given to candidates that have:


  • Compliance testing or other compliance related experience gained within internal audit – essential.
  • Generalist compliance/ regulatory experience, preferably within a central compliance function
  • Investment banking experience is essential and asset management experience would be highly regarded.
  • In addition to EU regulatory experience it is also required that the successful candidate also have exposure to the Irish Regulatory body.
  • Working knowledge of the UK / EMEA regulatory environment and how FCA, PRA and regulatory requirements apply to wholesale banking lines of business
  • Business awareness - understanding of wholesale banking activities and requirements

If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Kwame Owusu @