Compliance Monitoring AVP
Salary £50,000 - £75,000 per annum
Consultant Charlie Horrell
Date posted 02 August 2022london banking-financial-services/compliance 2022-08-02 2022-10-01 financial-services London London GB GBP 50000 75000 75000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
Based in London, a leading global investment bank are looking for a new Compliance Monitoring AVP to join their team.
Key responsibilities in this role will include:
- Design, support and deliver reviews that provide strong insight and value by identifying risks and issues, or examples of good practice. Clearly articulating root causes, outcomes and consequences to support corrective actions or the further embedding of robust controls and processes at a fundamental level.
- Adopt Data Analytics to use logic and analytical skills in reviews while providing assurance and identifying issues.
- Assist Review Leads to ensure timely delivery of assurance reviews, ensuring adherence to the Compliance Assurance methodology in the execution of planning, testing and reporting in addition to the monitoring and validation of issues and actions.
- Be proactive in managing the review to meet the planned timescale, resolving or escalating issues and blockers that materially impact the progress of reviews. Ensuring timely escalation to senior Compliance Assurance managers.
- Realise efficiencies within the Standard Review lifecycle that both heightens the overall assurance product effectiveness and allows for compression of the end to end lifecycle timeline, without compromising quality of work.
- Support cultural leadership skills, through recognising and valuing differences, e.g. through collaboration across diverse networks.
- The ability to clearly articulate the outcome of our reviews regarding the conduct and reputational risk being run across the firm and can interpretate the risks and lack of controls and offer clear remediation solutions.
- Ability to manage multiple tasks in a structured and risk based manner.
- Take a proactive approach to identifying and agreeing review coverage and develop the scope of reviews.
- Keep up to date on business developments, regulatory change, internal policies and Compliance objectives so that Compliance Assurance work remains relevant, timely and valuable.
- Aid continual review and development of the annual review plan through assessing the conduct, reputational and regulatory risks of existing business activities and new business initiatives, or changes to internal and external factors that might impact the business in meeting conduct and regulatory expectations.
A successful application to this role will include:
- Strong analytical skills and an ability to deliver timely high quality work.
- Excellent influencing and communication skills with the ability to tailor messages to all levels of the business, messages should be clear and impactful.
- Strong investigative skills with the capability to identify key risks and areas of non-conformance with regulatory and legislative requirements and identify root cases, themes and trends
- Attention to detail, ability to work in a clear, precise and structured manner.
- Knowledge or prior experience of working with an Automated Assurance team to increase the use of data driven testing and data analytics within reviews. Prior experience of working in an agile environment.
- Report Writing skills and proficient in Excel.
- Must have the willingness and initiative to learn and share knowledge across the wider team.
- Own and drive personal learning to support achievement of career aspirations.
- Resilient, with the ability to adapt to change.
Salary: £70,000 - £90,000 per annum + great bonus and top tier benefitsLocation: West EndDate posted: 12 August 2022A leading hedge fund platform is looking to hire into their growing compliance team based in London. You will be reporting into the Head of Compliance and support the Compliance function focusing on matters related to FCA requirements at the Firm level and UCITS/AIFMD related topics for the Luxembourg registered Funds. The role benefits from a broad remit covering all regulatory and investment compliance tasks across the firm’s funds and investment strategies.
Salary: £50,000 - £55,000 per annumLocation: LondonDate posted: 02 August 2022A Global Investment Bank is looking for a Compliance Associate to join their team covering monitoring and testing, reviews. They are looking for someone with an understanding of regulatory compliance that wants to develop themselves within a reviews role.
Salary: £60,000 - £85,000 per annumLocation: City of LondonDate posted: 16 August 2022Robert Walters is partnering with a Multi-national Investment Bank and Financial Services Group in their search for a Compliance and Operational Risk Specialist to join their Compliance team.
Salary: £50,000 - £59,000 per annumLocation: City of LondonDate posted: 15 August 2022Do you have experience within product control? Have you worked within financial services before? Do you have a keen interest in analysing daily trending P&L and verifying the values of positions held by trading desks and substantiating TSL and other trading related trial balances? As a result of continued growth, I am currently partnering with a well renowned Financial Services firm, recruiting for a Product controller. This is a fantastic opportunity for somebody who has experience in Product control to join an impressive finance function to support the day traders. Reporting into the group Managing director for Product Control, you will be heavily involved in product initiatives as well as needing to develop a good understanding of the products that they monitor including FX risk and management, funding approach and strategies used in which traders can make revenue.
Salary: £50,000 - £70,000 per annumLocation: LondonDate posted: 12 August 2022A top UK asset manager is hiring into their well regarded marketing compliance team. You will need to have at least a year of experience in reviewing marketing compliance materials and financial promotions within asset management. This role will be based in London and operate on a hybrid working model.