Compliance Investigator

6 days ago

London, United Kingdom Pontoon Full time

**Compliance Investigator**

**Hybrid London/ WFH**

**4 Months possible Longer**

**£670 umbrella**

CCO Investigations is responsible for conducting thorough independent fact-finds where control remediation, disciplinary proceedings, supervision failures or regulatory interaction are concerned as well as for the proactive identification and timely remediationand read-across of identified issues in the execution or design of my clients compliance processes and controls. CCO Investigations is a global team located across the UK, US, Switzerland, and Singapore. You will become part of the CCO Investigations teamcovering the UK and Europe

You will form an important interface function for co-ordination with various internal functions and teams such as other teams within the Chief Compliance Officer function, General Counsel (including Regulatory Affairs), Human Resources, Chief Risk Officer,First Line Control teams and the Front Office as well as with regulators and other third parties.
Together with other members of the CCO Investigations team (UK and Europe), you will be responsible for carrying out and coordinating internal investigations (from inception to case closure), data acquisition, data evaluation, document review, conducting interviewsand reporting.

You will also be responsible for the proactive identification and timely initiation and facilitation of appropriate remediation measures and read across if process, control or policy gaps or improvements are identified in the design or execution of the Bank'sprocesses and controls.

**Essentials Skills and Q ualifications**:
A university or comparable degree.
**Knowledge and experience of compliance and/or regulatory investigations** - a minimum of 4/5 year's experience in this field is preferred.
Excellent **analytical, management and presentation skills, solid interpersonal and communication skills**, self-motivated, flexible and precise.
A high degree of diligence in working with sensitive and confidential data, analytical and conceptual thinking, ability to work efficiently, pragmatically and independently.
Excellent organisational skills, ability to prioritise effectively, and ability to work under pressure without compromising quality.
Sound **understanding of banking and financial services** including **regulatory framework and expectations**

knowledge / understanding Investment Banking would be an advantage.

Pontoon is an employment consultancy and operates as an equal opportunities employer

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