Compliance Consultant - Front Office Control - Contract

  • Day rate GBP 750 - 950
  • London, England, United Kingdom London England GB
  • Contract, Full time
  • Laryn Myles
  • 23 Apr 18 2018-04-23

We are looking to speak with Front Office Compliance professionals with strong monitoring/ surveillance/ reviewing experience and a broad range of product expertise (FX & Rates preferable). You will undertake process reviews and test the effectiveness of front office and compliance control arrangements facing off to traders, heads of FX/Rates/Commodities trading/sales and compliance.

This is to work on a controls review project with a leading International Bank. The role is based in London, initially on a 6-month contract. This will follow a traditional monitoring/auditing methodology. 


  • Undertake reviews of controls in the sales and trading businesses covering areas such as trade surveillance, conflicts, wall crossing, order handling and suitability.
  • Perform ‘deep dive’ sales & trading desks reviews across a range of investment banking instruments.
  • Provide assurance that sales and trading controls are operating effectively through testing.
  • Provide opinion on the organisation’s practices versus industry norms and, considering the typical approaches of international investment banks, commenting on the effectiveness and sustainability of the control environment.


  • Must have worked recently (ideally currently) in a large global investment bank or similar in a front office compliance context.
  • Must have excellent investment banking product knowledge, typically FX/Rates/commodities.
  • Must be able to the table industry standard peer group experience. A good investment banking monitoring person works well.
  • Ability to challenge senior stakeholders on a trading/sales team on the effectiveness of their processes and controls.
  • Must be a Front Office Subject Matter Expert. Experience with only Project Management is not right for the role.