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

UK

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.

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Hiring Consultant

Katherine Lord

Partner, Head of Danos Consulting +44 (0) 207 010 1153 klord@danosconsulting.com View Profile

Responsibilities

  • 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.

Requirements

  • 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.

For all enquiries please email

info@danosconsulting.com

Investment Banking/Exchange Compliance SME - Up to £60,000 and up to £80,000 plus excellent benefits. 12 Month Fixed Term Contract