Job Overview

Compliance Monitoring and Testing Reviews

Location: London Salary: £Competitive
Type: Permanent Contact: Liam O'Mahoney
Posted: about 1 year ago

A top banking organisation is looking for a Compliance Monitoring specialist to join their compliance department. As part of the team you will work in a cohesive manner to ensure the business controls are fit for purpose and in line with regulatory obligations to the FCA. 

Key responsibilities:

  • Provide expert technical advice in regards to compliance and its application to markets/front office controls.
  • Planning and carrying out reviews of functions in accordance with the planned review schedule and on a thematic risk-based approach.
  • Providing compliance subject matter expertise and support for the monitoring team working with the team to identify adverse trends, poor controls and systemic risks
  • Drafting and issuing reports of each functional review
  • Recording and tracking the implementation of review recommendations
  • Producing Management Information (MI) in relation to the reviews undertaken

Key skills:

  • Compliance experience
  • Experience working in relevant market/context, i.e. background in compliance, preferably including monitoring and testing, risk, audit or control functions
  • Minimum of 1-3 years in compliance monitoring.
  • Self-awareness with confidence to work independently and take responsibility for own development
  • Able to present to senior management.