Senior Compliance - Quality Assurance Lead

Our client, a leading Investment Bank are seeking to appoint an experienced Core Compliance, Quality Assurance Lead. Reporting directly to the Head of Core Compliance Quality Assurance, this is a an exceptional opportunity to play a key role in designing, implementing, and executing a quality assurance (QA) framework within Core Compliance, covering all non-financial crime compliance risks.

Key Responsibilities:

• Assist in developing and implementing a robust QA governance and reporting framework for Core Compliance, ensuring alignment with regional Operational Risk standards.
• Conduct risk and control self-assessment (RCSA) testing in line with the Operations Risk Framework methodology.
• Plan and execute QA reviews, testing, and monitoring activities to assess control effectiveness across Core Compliance functions.
• Provide expert guidance to Core Compliance teams on control challenges, best practices, and new initiatives.
• Perform issue validation and proactively manage updates and reporting on key QA initiatives.
• Prepare and present detailed management reports on control frameworks, QA work programme progress, and key findings.
• Work collaboratively across teams to drive effective and efficient operations with well-defined roles and responsibilities.
• Identify and share QA best practices within Core Compliance and across key stakeholders including, Legal, Risk, and Internal Audit.
• Contribute to wider, non-BAU projects where possible.
• Initially focus on Core Compliance in London, with plans to expand the QA programme across EMEA offices in the future.

Experience & Skills Required:

• Significant experience in a control function within the financial industry.
• Strong expertise in assessing and designing internal controls.
• Proven ability to assess risks, identify gaps, and implement improvements.
• Strong analytical skills and ability to think systematically across an enterprise.
• Excellent written and verbal communication skills, with the ability to present findings to senior management.
• Detail-oriented with strong organizational skills and the ability to manage multiple projects simultaneously.

This is an exceptional opportunity to join a high performing team and have a varied remit that offers an excellent platform to develop and grow.

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