Compliance Monitoring & Testing

  • £50k - £75k
  • London, England, United Kingdom
  • Permanent, Full time
  • Ink Recruitment
  • 05 Feb 18 2018-02-05

I am working with three Investment Banks based in London (Tier 1 and Tier 2 banks) who are looking to build out their Compliance Monitoring and Testing teams. All three of these Banks are hiring at AVP level, and expect the individual to conduct and lead compliance reviews from start to finish, and develop and deliver their risk-based annual review plan. Each of these positions focus on different business activities: • Global markets; • Private Side & Research; and • CASS / Securities Services


Ø  Execute thematic and desk review activities across your dedicated business line

Ø  Identify issues through testing and write reports including recommendations

Ø  Meet with business and Compliance stakeholders to understand the business and regulatory context


Ø  Financial services experience, in Audit, Consultancy or Compliance

Ø  Work experience executing compliance reviews in a financial institution (ideally an Investment Bank)

Ø  Degree educated