Compliance Officer - Auditors Wanted

Gresham Hunt
London, United Kingdom
Up to £110,000 + package
05 Aug 2022
03 Sep 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Compliance Officer - Financial Services

London - Up to £110,000

Internal auditor with 5+ years' experience within wholesale banking or consulting? Looking to move into the second line? This could be the opportunity for you!

Gresham Hunt is working with an leading European investment bank to fill the role of Compliance Monitoring Officer for their UK Wholesale Banking Compliance Monitring department.

My client is extremely interest in candidates that come from an internal audit background that can bring their knowledge and skills into the second line. This is an exciting opportunity to be responsible for assessing the design and effectiveness of key compliance controls to mitigate against business compliance risks.

The duties of the role include:
  • Planning, executing, and conducting compliance testing reviews in line with UK and global regulatory demands
  • Analysing and documenting results of reviews, and conducting initial discussions with control and process owners
  • Helping to develop Annual Compliance Testing Plans and Quarterly Summaries, and developing current Compliance Testing Methods and Standards
  • Making use of innovative approaches to Compliance Testing, including Data Analytics
  • Building relationships within both the Compliance Testing Department and other stakeholders, including control/process owners, Compliance Advisory and Internal Audit
  • Discerning best industry practice and sharing insights on a regular basis, and identifying and informing management of significant compliance points of issue for their attention

The successful candidate will have:
  • At least 5 years' experience in Internal Audit, Compliance Assurance teams, or similar function within financial services
  • Extensive experience planning and conducting compliance testing programs, utilising surveillance and transaction systems, and ensuring effectiveness of control functions
  • Strong ability to work both independently and collaboratively with people at all levels of the business
  • Demonstrable advanced analytical skills
  • Intermediate understanding of rules, regulations, policies and procedures within a Wholesale banking context

In addition, knowledge of financial crime controls and processes would be of great benefit, along with familiarity of UK and European financial crime regulations.

While not essential, it is preferable that candidates are ACCA or ACA qualified.

Candidates must be based in the UK with full right to work. Unfortunately visa sponsorship is not available at this time.

For more information, please forward your CV to:

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