Clear all search filters

Our client is a leading investment bank with a strong global presence. Due to expansion they are seeking a Compliance Review Officer to join their Compliance team in London. Pitched at Vice President level and reporting to the Compliance Monitoring Director, key duties and responsibilities of the role are as follows;

• Plan and manage the execution of compliance monitoring reviews according to the established review schedule.
• Perform risk assessments, prioritise areas for review.
• Provide supervisory oversight and direction to junior team members.
• Lead on-site compliance reviews.
• Validate compliance against established policies, procedures and applicable regulations, develop recommendations for corrective actions based on review findings.
• Develop presentation and reporting to department management on review results.
• Follow up on action plans to verify that corrective action has been implemented.
• Provide guidance on compliance issues related to sales practice and supervision.
• Maintain a broad knowledge of the companies business and regulatory framework in which it operates.
• Developing relationships with business compliance officers and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the company.
• Ad hoc projects as directed by management.

Ideally you will be of graduate calibre and have at least five years compliance experience gained within the investment banking sector. It is also envisaged you will have a deep knowledge of the UK and European regulatory environment combined with exposure to core investment banking lines and products. Lastly, it is desirable that you are a good communicator and able to quickly learn new information and adopt new skills.

Please contact Clem Cull on 0207 065 1224 for further information.

Job presented by