Compliance Monitoring and Testing Officer

City of London Permanent
  • Growing team
  • Large global investment bank

About Our Client

Our client are a leading global investment bank with a focus on global markets and treasury services.

Job Description

The Compliance Monitoring and Testing Officer will be responsible for:

  • Support of the Monitoring and Testing Program across the bank
  • Input into the development and maintenance of the UK Compliance testing reviews methodology and associated procedures.
  • Maintenance of the UK Compliance annual and multi-year testing plan. ·
  • Creation, maintenance and review of the UK Compliance monitoring log and review of the effectiveness of the monitoring.
  • Under the oversight of the Senior Manager Monitoring & Testing, plan and conduct desk-based compliance reviews to assess the effectiveness of policies and procedures to identify potential compliance gaps. ·
  • Under the oversight of the Senior Manager Monitoring & Testing, on completion of any review agree a clear plan of action for resolution of all identified issues within agreed timescales and ensure that all issues are resolved as agreed.

The Successful Applicant

The Compliance Monitoring and Testing Officer should have the following skills:

  • Degree educated or equivalent
  • Proven relevant compliance, audit or regulatory testing experience in a financial institution.
  • Intermediate knowledge and understanding of securities/banking rules, regulations, by-laws, policies and procedures
  • Intermediate knowledge of UK and European Monitoring and Testing regulatory principles and products ·
  • Experience of multiple stakeholder management at mid-senior management level, including stakeholders from the business as well as third party organisations

What's on Offer

Competitive salary plus benefits and bonus

Karen O'Neill
Quote job ref
Phone number
+44 207 645 1432

Job summary

Banking & Financial Services
Compliance & Legal
Financial Services
City of London
Contract type
Consultant name
Karen O'Neill
Consultant phone
+44 207 645 1432
Job reference