Compliance Monitoring – AVP

THE COMPANY:

Our client is a successful banking firm with a strong global presence across Wholesale and Capital Markets.

They are seeking a Compliance Monitoring AVP to assist with the execution and completion of testing as determined by the Compliance Monitoring Plan.

THE RESPONSIBILITIES:

• Execute testing on assigned reviews on time and in line with Compliance Monitoring procedures
• Document testing clearly, concisely and in a re-performable way
• Assist with scoping and planning of monitoring reviews
• Keep review stakeholders updated so there are no surprises at close-out
• Report findings to the Head of Monitoring in good time, before review completion, so issues can be escalated
• Own the factual accuracy and quality of working papers and findings
• Keep assigned review files complete to Monitoring standards
• Document issues, risks, root cause, impact and remediation actions, with support from the Head of Monitoring
• Follow up action plans to deadline and collect robust closure evidence; elevate overdue items and extension requests promptly
• Support ad-hoc work, CMP management information and Monitoring projects
• Attend Compliance meetings and complete mandatory training on time
• Maintain a working knowledge of the FCA Handbook, key products, business operations and relevant regulatory change

EXPERIENCE REQUIRED:

• Good knowledge of financial services, markets, securities and banking activities;
• Sound understanding of risks and controls, noting prior Monitoring or audit background is desirable;
• Regulatory awareness and understanding of the emerging regulatory landscape;
• The ability to manage a number of issues/reviews/projects concurrently;
• Good written and verbal communication skills;
• Accuracy and attention to detail

For further information please contact Natalie Eshelby

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