Investment Banking/Exchange Compliance SME
17th May 2022
Investment Banking/Exchange Compliance SME - Up to £60,000 and up to £80,000 plus excellent benefits. 12 Month Fixed Term Contract
Working for a well regarded exchange, my client is looking for 2 x compliance hires to join their friendly, hybrid team. Previous monitoring & testing and / or central compliance experience is essential.Apply Now
- Scope and plan compliance monitoring reviews, completing the appropriate internal monitoring documents.
- Engage with the first line to ensure that the key compliance risks and controls are appropriately reviewed and tested.
- Ensure that issues identified through the Compliance Monitoring Programme are investigated and reported, with mitigation plans put in place for timely resolution.
- Good level experience of working in compliance within Financial Services.
- Knowledge of and practical experience of existing UK compliance requirements is essential, especially around compliance monitoring and testing of controls.
- Experience of completing compliance monitoring and testing reviews on a number of business, thematic areas from beginning to end.
- Self motivated and strong stakeholder management experience.
Please contact Katherine Lord if you are keen to hear more about the role.