AVP Compliance

4 weeks ago

London, United Kingdom Bruin Full time

Exciting Opportunity: Join a Fabulous Team at One of the Largest and Most Well-Known Investment Banks

As an AVP Conduct & Compliance in Conduct & Compliance, your primary responsibility is to execute and deliver all audit engagements assigned by the Chief Auditor and Heads of Audit. You'll support the Head of Audit and Senior Audit Managers in this role, contributing to the annual planning process and maintenance of the audit risk universe. Your role involves developing subject matter expertise in your area of focus.

KEY RESPONSIBILITIES

  • Assist the Head of Audit in portfolio management, risk assessments, and audit planning.
  • Take ownership of assigned areas during engagements, managing stakeholders internally and externally.
  • Aid in planning engagements, identifying key risk areas, and producing high-quality Audit Planning Documents.
  • Ensure timely production of all internal and external deliverables according to EIAO methodology and standards.
  • Develop and execute effective tests of key controls, document audit work, and evaluate the overall effectiveness of controls.
  • Escalate audit issues to senior management and collaborate with auditees to find solutions.
  • Stay updated on regulatory requirements and financial market trends, integrating them into continuous monitoring activities.
  • Maintain positive relationships with stakeholders to ensure smooth and professional audit planning and delivery.
  • Follow up on issues to ensure satisfactory closure of Management Action Plans, including testing of remediated controls.
  • Assist the Head of Audit in preparing management information and third-party submissions.
  • Collaborate with internal audit colleagues regionally and globally, contributing to strategic initiatives as needed.

WORK EXPERIENCE

  • Prior internal audit or Compliance experience in the financial services industry
  • Expertise in compliance risks - Essential
  • Previous involvement in at least one Core Compliance area (Advisory, Compliance Risk Assessment, etc.).

Functional / Technical Competencies:

  • Proficient in risk-based auditing methodology.
  • Understanding of conduct risks and controls in first and second lines of defense.
  • Familiarity with global regulatory requirements for markets business.
  • Ability to work effectively in a small, focused audit team.
  • Strong written and verbal presentation skills.

Please Note: We are not the company itself; we are recruiting on behalf of our client.

  • AVP, Compliance Advisory

    3 weeks ago

    London, Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.A variety of soft skills and experience may be required for the...

  • AVP, Compliance Advisory

    3 weeks ago

    London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole. Join us and leave your mark on the industry. We are looking for an...

  • AVP, Compliance Advisory

    3 weeks ago

    London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole. Join us and leave your mark on the industry. We are looking for an...

  • AVP, Compliance Advisory

    1 week ago

    London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Job DescriptionLooking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.Join us and leave your mark on the industry. We are...

  • AVP, Compliance Advisory

    3 weeks ago

    Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.Join us and leave your mark on the industry. We are looking for an...

  • AVP, Compliance Advisory

    3 weeks ago

    Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.Join us and leave your mark on the industry. We are looking for an...

  • AVP, Compliance Advisory

    3 weeks ago

    Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole. Join us and leave your mark on the industry. We are looking for an...

  • AVP, Compliance Advisory

    3 weeks ago

    Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.Join us and leave your mark on the industry. We are looking for an...

  • AVP, Compliance Advisory

    3 weeks ago

    Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full time

    Looking to join the #1 bank in the UAE and one of the most prestigious in the region? We're looking for professionals who are driven, skilled, and ready to take on new challenges. Together, we can achieve our goals, making a lasting impact on both our company and the industry as a whole.Join us and leave your mark on the industry. We are looking for an...

  • Operational Risk and Control AVP

    6 days ago

    London, United Kingdom Michael Page (UK) Full time

    About Our Client Our client is a well-established Banking firm, based in London. The bank has gone through significant growth over the past 3 years and are continuing their focus on Risk and Governance, this role is a key part of this. Job Description The Operational Risk and Control AVP will: Implementing and managing the operational risk framework ...

  • Liquidity Risk

    6 hours ago

    London, United Kingdom Michael Page Full time

    The employer is a top-tier financial services firm with a global presence. With a workforce of several thousand employees, the company has a strong market position in the industry and is well-regarded for its rigorous risk management practices and commitment to regulatory compliance. Description As a Liquidity Risk - AVP' you will: Develop and...

  • Liquidity Risk

    1 week ago

    London, United Kingdom Michael Page Full time

    The employer is a top-tier financial services firm with a global presence. With a workforce of several thousand employees, the company has a strong market position in the industry and is well-regarded for its rigorous risk management practices and commitment to regulatory compliance. Description As a Liquidity Risk - AVP' you will: Develop and implement...

  • Liquidity Risk

    2 weeks ago

    City of London, Greater London, United Kingdom Michael Page (UK) Full time

    About Our Client The employer is a top-tier financial services firm with a global presence. With a workforce of several thousand employees, the company has a strong market position in the industry and is well-regarded for its rigorous risk management practices and commitment to regulatory compliance. Job Description As a Liquidity Risk - AVP' you...

  • Regulatory Affairs AVP

    2 weeks ago

    City of London, Greater London, United Kingdom Michael Page (UK) Full time

    About Our Client Our client is a highly regarded international bank based in their City of London office. Job Description Liaising with the regulator to manage regulatory risk, and implementing new regulations in order to maintain a strong relationship with the regulator and avoid fines. This role holder will be one of the approved contacts with the...

  • Financial Crime Compliance Project- AVP

    5 days ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. The role supports the 2LoD investigations with an understanding of money laundering and the related financial crime risks. To assist in core governance activities relating to transaction...

  • Control Room Avp

    7 days ago

    London, United Kingdom Carr Lyons Search and Selection Full time

    Carr-Lyons are currently working alongside a leading global investment bank to recruit a Control Room Assistant Vice President. This is a key role, working alongside the Central Compliance Team overseeing all Control Room activities. The Control Room AVP will be responsible for: - The setting of policies, including but not limited to; the processing of MI...

  • ABC Analyst

    2 days ago

    London, United Kingdom Eton Clarke Full time

      Over the past few years, our client has seen considerable growth. This success is largely attributed to their ongoing dedication to deploying substantial balance sheet resources and extending credit facilities to their clients. An opportunity has become available for a Leasing ABC/KYC  AVP to be responsible for ensuring alignment, both internally and...

  • Financial Markets Compliance Advisory

    4 weeks ago

    London, United Kingdom BNP Paribas Full time

    FINANCIAL MARKETS COMPLIANCE ADVISORY - AVP (JOB NUMBER: 25795) **BNP Paribas is a leading bank in Europe with an international reach. It has a presence in 73 countries, with more than 196,000 employees, including around 149,000 in Europe. The Group has key positions in its three main activities: Domestic Markets, International Financial Services (whose...

  • Financial Crime Compliance Project- AVP

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. The role supports the 2LoD investigations with an understanding of money laundering and the related financial crime risks. To assist in core governance activities relating to transaction...

  • Financial Crime Compliance Project- AVP

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a successful banking firm with a strong global presence, offering a comprehensive range of services across corporate and investment banking activities. The role supports the 2LoD investigations with an understanding of money laundering and the related financial crime risks. To assist in core governance activities relating to transaction...