Avp - Reviewer, Compliance Assurance & Testing
2 weeks ago
You will be expected to contribute to the overall compliance assurance and testing framework by:
- Conducting risk-based thematic and desk reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders
- Scoping reviews and developing test programmes Tracking, managing and taking ownership of the remediation of compliance issues by working with relevant business stakeholders
- Regularly meeting with and engaging with key business stakeholders in order to identify key risk areas
- Contributing to the quarterly and annual risk assessments
- Providing support to both the Bank and Securities Head Offices
- Working in collaboration with the First Line to support their assurance programme
- Providing regular MI for management and Head Office
- Performing ad-hoc investigations where required Performing electronic and audio communications monitoring to identify and investigate compliance and/or conduct breaches by staff where required
- Contributing to CA&T projects as directed Assisting in the creation and delivery of the department's Assurance Plan by identifying key areas of focus for reviews,
- Identifying compliance and conduct risk topics and communicating to the team, division and senior management on any industry updates.
- Actively participating in current CA&T projects such as data analytics, compliance framework
Desired skills include:
- Excellent Microsoft Office (including Excel) skills
- Strong relationship management skills, including with senior stakeholders Effective time management skills, with the ability to produce high quality output and meet tight deadlines
- Problem solving, analysis and reporting skills Ability to exercise sound judgement, balance risk and practicality to determine appropriate actions/ solutions
- Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing to articulate how an identified issue increases risk for the firm
- Good understanding of Investment Banking and Markets risks and regulations
- Ability to scope reviews, create test scripts and review the work of others
- Strong compliance testing experience required
- Broad understanding of the FCA Handbooks, Regulatory approaches & OFAC Standards
In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.
-
AVP Compliance
1 week ago
London, United Kingdom Bruin Full timeJob Description 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...
-
AVP Compliance
Found in: Talent UK 2A C2 - 3 weeks ago
London, United Kingdom Bruin Full timeExciting Opportunity: Join a Fabulous Team at One of the Largest and Most Well-Known Investment BanksAs 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,...
-
AVP Compliance
Found in: Appcast UK C C2 - 2 weeks ago
London Area, United Kingdom Bruin Full timeExciting Opportunity: Join a Fabulous Team at One of the Largest and Most Well-Known Investment BanksAs 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,...
-
AVP Compliance
Found in: Whatjobs ES C2 - 1 week ago
London Area, United Kingdom Bruin Full timeExciting 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,...
-
AVP Compliance
Found in: Appcast Linkedin GBL C2 - 3 weeks ago
London Area, United Kingdom Bruin Full timeExciting Opportunity: Join a Fabulous Team at One of the Largest and Most Well-Known Investment BanksAs 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,...
-
AVP Compliance
Found in: Appcast UK C2 - 2 weeks ago
London Area, United Kingdom Bruin Full timeExciting Opportunity: Join a Fabulous Team at One of the Largest and Most Well-Known Investment BanksAs 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,...
-
AVP CDD Manager
7 days ago
London, United Kingdom Michael Page (UK) Full timeAbout Our Client Our client is a high profile payments firm based in the city of London Job Description The AVP CDD Manager - Periodic Review will be responsible for: Oversee the execution of Periodic Reviews & Trigger Reviews. Provide leadership and guidance to the periodic review team driving adherence to SLA's & management of risks Ensure...
-
Securitisation & Financing - Credit Risk (AVP)
3 weeks ago
London, United Kingdom Paritas Recruitment Full timeJob Description Securitisation & Financing – Credit Risk (AVP) A leading global bank is searching for an AVP level Credit Risk professional to join their London based team. The role would be suited to someone with Banking and /or Rating Agency experience with Securitisation exposure or Banking Securitization Credit Risk exposure specifically with ABS,...
-
Securitisation & Financing – Credit Risk (AVP)
2 weeks ago
London, United Kingdom Paritas Recruitment - Risk Full timeSecuritisation & Financing – Credit Risk (AVP) A leading global bank is searching for an AVP level Credit Risk professional to join their London based team. The role would be suited to someone with Banking and /or Rating Agency experience with Securitisation exposure or Banking Securitisation Credit Risk exposure specifically with ABS, CMBS and RMBS....
-
Compliance Officer AVP
2 weeks ago
London, United Kingdom Miryco Consultants Ltd Full timeMiryco Consulants are working with a leading Lloyd’s of London Insurance Broker in hiring a Compliance Officer (AVP) to join their Risk & Compliance team. Responsibilties •Manage the relationship with our regulators. • Responsible for regulatory submissions via Connect, Gabriel and any other FCA notifications. • Responsible for horizon scanning...
-
Operational Risk Controls Assurance
3 weeks ago
London, United Kingdom Michael Page (UK) Full timeAbout Our Client UK banking client , going through really positive growth and expansion. London based client. 3 days a week in office Job Description Operational Risk Controls Assurance AVP will support the Control Assurance lead in developing and launching the Control Assurance Framework. Responsible for creating and maintaining the central control...
-
AVP, Compliance Advisory
Found in: Jooble UK C2 - 1 week ago
London, United Kingdom First Abu Dhabi Bank (FAB) Full timeLooking 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
Found in: beBee jobs GB - 1 week ago
London, Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full timeLooking 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
Found in: beBee S GB - 1 week ago
London, United Kingdom First Abu Dhabi Bank (FAB) Full timeLooking 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
1 week ago
London, United Kingdom First Abu Dhabi Bank (FAB) Full timeLooking 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...
-
Compliance Officer Monitoring
7 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a successful retail brokerage firm and is seeking someone with strong monitoring/risk assurance to join them THE RESPONSIBILITIES: Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan Identify any gaps or weaknesses in the plan and propose remedial actions. Assist with...
-
Compliance Assurance Partner
3 days ago
London, United Kingdom Aon Corporation Full timePosting Description: **Compliance Assurance Partner** Are you a Compliance Assurance Partner, with experience working in an FCA regulated environment? Do you want to be part of an ambitious and passionate inhouse team, at a leading global professional services firm? If yes, then why not come and join our team. Aon are recruiting for three Compliance...
-
Control Room Avp
6 days ago
London, United Kingdom eFinancialCareers Full timeOur client are a leading Global and Investment Bank. **Description** The Control Room AVP will be responsible for: - Draft and update adequate documentation, procedures and resources to support the Control Room activities. - Complete and handle Takeover Panel matters including drafting procedures and presentations, disclosure requirements and liaise with...
-
London, United Kingdom Paritas Recruitment - Risk Full timeK- Posted by - Keith Jones- Manager - Risk Management & Quantitative Analytics This role would suit a Credit Risk professional from a bank or ratings agency professional who has in depth securitisation experience. Securitisation & Financing - Credit Risk (AVP) A leading global bank is searching for an AVP level Credit Risk professional to join their London...
-
AVP, Compliance Advisory
Found in: Talent UK 2A C2 - 1 week ago
Greater London, United Kingdom First Abu Dhabi Bank (FAB) Full timeLooking 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...