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Compliance Monitoring

2 months ago

London, UK, United Kingdom Investigo Full time

Join the investment banking division of a prominent UK bank, where we are seeking an experienced Compliance Monitoring and Testing Officer VP.


This role offers the opportunity to work within a dynamic team under excellent leadership, with the flexibility of hybrid working—two days in the office per week.


You will work closely with the Head of Compliance Testing to effectively execute the Annual Testing & Monitoring Plans.


You will ensure that critical testing and monitoring activities are performed efficiently, providing accurate and reliable information that enhances business growth and fortifies first-line control procedures.


What will I be doing?


  • Conduct Testing and Monitoring to identify potential financial crimes, market abuse, manipulation, or other regulatory breaches by clients or staff.
  • Carry out routine and ad-hoc tasks essential for the department's risk-based review, monitoring, and testing program.
  • Support the Quality Assurance team by performing quality checks on processes, ensuring senior Compliance management has confidence in the department’s effectiveness.


Technical knowledge needed:


  • Lead and manage the execution of complex, risk-based thematic and desk reviews across the London and EMEA business areas, providing assurance over compliance and conduct risks to key stakeholders.
  • Play an integral role in designing and implementing risk-based testing that aligns with the firm’s strategic goals.
  • Deliver in-depth technical analysis of regulatory risks and requirements, integrating these insights into testing operations and supporting senior management in risk mitigation.
  • Serve as a subject matter expert (SME) on Compliance, contributing to regulatory implementation projects, staff training, and procedural tasks as necessary.