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My client is a wholesale banking institution based in central London.
They are looking to hire an experienced Compliance monitoring and testing officer at VP level. This is a great team with a great boss that allows hybrid working, 2 days in the office.
You must be working in a markets business to apply for this job.
- Providing risk-based assurance to senior management and the Group, ensuring independent and thorough challenge through high-quality reporting.
- Working closely with the Head of Compliance Testing to implement the Testing & Monitoring Annual Plans effectively.
- Ensuring that critical testing and monitoring activities are carried out efficiently to deliver accurate, reliable information that supports business growth and strengthens first line control procedures.
- Collaborating with regulators, auditors, and Compliance QA to foster a strong understanding of the firm’s control and governance frameworks.
Key Responsibilities:
Testing and Monitoring:
- Conduct thorough testing and monitoring to detect any attempts by clients or staff to commit financial crimes, market abuse, manipulation, or other regulatory breaches.
- Fulfil regular and ad-hoc tasks essential for completing reviews, monitoring, and testing as part of the department’s risk-based programme.
- Support the Quality Assurance team by performing quality controls over processes, ensuring that senior Compliance management is confident in the department’s effectiveness.
- Engage in compliance and conduct risk assessment exercises to help shape the department’s strategic direction.
Technical Expertise:
- Lead and manage the delivery of technically complex, comprehensive risk-based thematic and desk reviews of the London and EMEA business areas, providing assurance over compliance and conduct risks to key stakeholders.
- Play a crucial role in the design and implementation of risk-based testing, ensuring it aligns with the firm’s strategic objectives.
- Provide detailed technical analysis of regulatory risks and requirements, embedding these insights into Testing operations and aiding senior management in mitigating potential risks.
- Assist in the periodic review of procedures, systems, and controls to ensure they are current and effective, initiating remedial actions where necessary.
- Deliver regular management information (MI) for inclusion in periodic Compliance reports to senior management.
- Act as a subject matter expert (SME) on Compliance, contributing to regulatory implementation projects, staff training, and procedural tasks as needed.
Stakeholder Engagement:
- Maintain and strengthen relationships with key stakeholders, including those in the front office and support functions, by addressing significant issues and escalating them to senior management as required.
- Track, manage, and oversee the resolution of compliance and conduct issues, working collaboratively with relevant business stakeholders.
- Serve as an independent voice within the organisation, challenging the front office on any breaches of law, regulation, or internal policies.
- Support the broader objectives of the Compliance Division through active participation and leadership.
Salary is £90,000 – £110,000k on the base.
2 days in the central London office.
Please contact me with your CV for more information to discuss the role in more detail. ne@barclaysimpson.com
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
