- 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.
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