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Compliance Monitoring and Testing Officer

3 weeks ago

London, United Kingdom eFinancial Careers Full time

Our client are a leading global investment bank with a focus on global markets and treasury services.

**Description**

The Compliance Monitoring and Testing Officer will be responsible for:

- Support of the Monitoring and Testing Program across the bank
- Input into the development and maintenance of the UK Compliance testing reviews methodology and associated procedures.
- Maintenance of the UK Compliance annual and multi-year testing plan.
- Creation, maintenance and review of the UK Compliance monitoring log and review of the effectiveness of the monitoring.
- Under the oversight of the Senior Manager Monitoring & Testing, plan and conduct desk-based compliance reviews to assess the effectiveness of policies and procedures to identify potential compliance gaps.
- Under the oversight of the Senior Manager Monitoring & Testing, on completion of any review agree a clear plan of action for resolution of all identified issues within agreed timescales and ensure that all issues are resolved as agreed.

**Profile**

The Compliance Monitoring and Testing Officer should have the following skills:

- Degree educated or equivalent
- Proven relevant compliance, audit or regulatory testing experience in a financial institution.
- Intermediate knowledge and understanding of securities/banking rules, regulations, by-laws, policies and procedures
- Intermediate knowledge of UK and European Monitoring and Testing regulatory principles and products
- Experience of multiple stakeholder management at mid-senior management level, including stakeholders from the business as well as third party organisations

**Job Offer**

Competitive salary plus benefits and bonus