Manager - Compliance Monitoring & Testing Manager - Compliance Monitoring & Testing …

Hays Financial Markets
in London, England, United Kingdom
Permanent, Full time
Last application, 06 Apr 20
GBP55000.00 - GBP65000.00 per annum
Hays Financial Markets
in London, England, United Kingdom
Permanent, Full time
Last application, 06 Apr 20
GBP55000.00 - GBP65000.00 per annum
Hays Financial Markets
Compliance Assurance and Testing Manager / AVP level required by major international bank.

*****Due to the Covid19 outbreak, you must have access to Broadband and be able to work from home. The role is only open to people who are resident in the UK currently*****

The company: Major international bank with one of the largest balance sheet's in the world, now seeks a Compliance Assurance and Testing professional to join their team.

The role: Working closely with the Head of Monitoring & Testing, you will undertake assignments that will have you scope, plan and execute monitoring or testing projects across the breadth of their investment banking operations.

Key responsibilities include:

  • Applying experience to lead conduct risk based reviews and forensic analysis of the securities and investment banking division.
  • Provide analysis and assist in the development of the annual compliance monitoring program
  • Perform electronic and audio communications monitoring to mitigate the risk of market abuse and general compliance breaches by employees
  • Conduct remediation on key compliance issues identified
  • Liaise with key stakeholders in order to identify key risk areas and refresh the annual risk assessment on a periodic basis
  • Be involved in the planning, implementation and testing of new technology for e-communications, testing etc.
  • Work in collaboration with the front office / first line of defence to support their monitoring and testing needs
  • Provide management information reporting for management meetings to address the risks affecting the bank and the on-going prevention programs.
  • Performing ad-hoc investigations as and when required
  • Coaching, supporting and training junior members of the team


The Candidate:

  • University degree educated
  • At least 3 years of compliance monitoring experience
  • Strong Microsoft Excel skills
  • Strong understanding of Banking risks and regulations
  • Good exposure to the front office of an investment bank
  • Strong people skills with the ability to build relationships with key stakeholders in the front office
  • The ability to deliver high quality work under time-pressured deadlines
  • An investigative approach that questions before accepting information as it is received.
  • Ability to exercise sound judgement, balance risk and practicality to determine appropriate actions/ solutions
  • Ability to scope reviews, create test scripts and review the work of others
  • Broad understanding of the FCA Handbooks, Regulatory approaches & OFAC Standards
  • Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing


What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
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