Internal Audit (Front Office) - Compliance VP

Compliance Controls Testing: 2nd line of defence (seeking auditor) Location: London (Hybrid, 2-3 days in the office/week) Our client is seeking a highly skilled and experienced front office Auditor to join their Compliance team. This role offers the opportunity to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards. The successful candidate will be part of an independent function providing specialist advice and support in adhering to internal controls and external rules, managing compliance risks, and overseeing the 1LoD control framework through Independent Testing. * Opportunity to work in a dynamic and supportive environment * Chance to contribute to a responsible and sustainable economy * Role involves managing compliance risks and overseeing internal controls

What you'll do:

As a Controls Testing VP, your primary responsibility will be managing and delivering high-quality Compliance Reviews/Independent Testing across business lines throughout Europe. You will be expected to lead and drive forward allocated programs of risk-based thematic, transversal, targeted, and desk-focused Compliance reviews. Your role will also involve challenging the 1LoD control framework, ensuring that compliance risk is appropriately mitigated. You will also be tasked with preparing detailed reports outlining key findings from reviews.

• Contribute to the planning of independent testing and control execution
• Lead and drive forward allocated program of risk-based thematic, transversal, targeted and desk focused Compliance reviews
• Challenge the 1 LoD control framework including control applicability, design, methodology as well as other factors
• Deliver Independent Testing and Controls within set deadlines
• Prepare detailed report concluding the review outlining key findings and agreed remediating actions
• Analyse submitted evidence by Action Plan Owners to ensure sufficiency for Team Manager(s) acceptance

What you bring:

The ideal candidate for this Controls Testing VP role will bring professional qualifications and prior experience in an Audit role for front office within a financial services environment. You should have detailed knowledge of specific Compliance principles and processes in control testing applicability, testing programmes, controls results, and reporting. A good understanding of global markets, global banking, securities services or treasury products is essential. Excellent analytical skills are required along with strong people management skills.

• Professional qualification and prior experience in an audit role focusing on front office at a financial services financial services firm
• Knowledge of specific regulatory principles and processes in control testing applicability, testing programmes, controls results and reporting
• Good understanding of global markets, global banking, securities services or treasury products
• Excellent analytical skills with ability to translate knowledge into advice and recommendations
• Strong people management skills with ability to train and mentor team members
• Excellent written and oral English skills

What sets this company apart:

Our client is committed to creating an optimal work/life balance for its employees. They offer flexible working arrangements including hybrid working options. They are proud of their award-winning flexible benefits which include generous holiday allowance, valuable financial plans, extensive wellbeing and mental health offering, and key onsite services and facilities. They are also committed to having a positive impact in the world, with commitments to Net Zero in all of their financing and investment portfolios by 2050.

What's next:

If you're ready to take your career to the next level in a role that offers challenge, growth and a chance to make a real difference, apply today!

Apply Today by clicking on the link!

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates