AVP Compliance Monitoring
4 days left
Our client, a Global Investment bank is looking for an AVP Compliance Monitoring to be responsible for testing activities across their investment banking business. The individual would help to develop and maintain compliance and conduct risks standards to enhance and protect the reputation of the firm.
- Conduct compliance testing including implementation of policies and procedures and the provision of compliance advice across the business.
- Level of technical and compliance experience especially around testing understanding of compliance and conduct risks.
- Prepare reports for the key stakeholders on the outcome of compliance testing work.
- Carry out preparation and fieldwork in respect of monitoring and review work.
- Deliver and execute compliance monitoring plan in accordance to relevant laws, regulations and internal group standards.
- Lead and manage the preparation of compliance risk assessments in line with the compliance monitoring plan.
- Assist management in fostering good relationships with regulators.
- Monitor regulatory changes to business and products to ensure that the compliance monitoring plan is adjusted adequately.
- Input to the production of the annual compliance risk review and take into account findings and regulatory or industry developments.
- Liaise with local compliance advisory and audit teams and support senior management on any relevant issues.
- Monitor the progress of operational and regulatory risk linked to the business and resolve issues when necessary.
The preferred candidate will ideally have an investment banking background and be able to demonstrate a strong understanding of conducting risk reviews of a business/product area. You will possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, apply via the 'apply' button below or call on 020 7430 1831 for a confidential discussion.
Our client is an equal opportunity employer and values diversity in the company. The company does not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
Altus Search Ltd is acting as an employment agency in relation to this role.
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