Compliance Testing

An exceptional opportunity has arisen for a Vice President Compliance Testing and Monitoring to join a globally respected financial institution in London. This role offers you the chance to make a meaningful impact by supporting the delivery of robust compliance testing and monitoring plans, ensuring the highest standards of regulatory adherence across complex business areas.

What you'll do:

As Vice President Compliance Testing and Monitoring based in London, you will be at the heart of safeguarding regulatory integrity across diverse business operations. Your day-to-day responsibilities will see you collaborating closely with senior leaders to deliver comprehensive risk-based assurance programmes that drive organisational trust. You will oversee the design and execution of technically complex reviews while nurturing talent within your team through coaching and mentorship. By engaging with regulators, auditors, and internal stakeholders alike, you will help maintain transparent governance practices. Your analytical skills will be put to use conducting detailed assessments of compliance risks while ensuring that all processes align with current regulations. Through your efforts in managing remediation actions and supporting continuous improvement initiatives, you will contribute significantly to maintaining a culture of accountability and operational excellence.

• Support the Head of Compliance Testing Delivery in executing comprehensive annual testing and monitoring plans that underpin the organisation’s commitment to regulatory excellence.
• Deliver independent, risk-based assurance to senior management by providing thorough analysis and clear reporting on compliance matters across multiple business units.
• Ensure all testing and monitoring processes are conducted efficiently, producing reliable information that supports both business growth objectives and robust control frameworks.
• Manage, coach, and develop team members within the Compliance Testing Delivery function, fostering their professional development through guidance and support.
• Liaise effectively with regulators, auditors, and internal quality assurance teams to promote transparency and understanding of the firm’s governance structures.
• Conduct regular and ad-hoc reviews as part of the department’s risk-based testing programme, identifying potential breaches such as financial crime or market abuse.
• Participate actively in departmental compliance and conduct risk assessment exercises to inform strategic direction for ongoing monitoring activities.
• Supervise junior staff by providing training, support, direct line management, and technical leadership on complex thematic reviews.
• Assist in reviewing procedures, systems, and controls periodically to ensure they remain effective and up-to-date with evolving regulatory requirements.
• Provide regular management information for periodic compliance reports to senior stakeholders while supporting wider divisional objectives.

What you bring:

To excel as Vice President Compliance Testing and Monitoring you will bring substantial experience from similar roles within financial services—ideally encompassing both UK-specific regulations as well as broader EMEA requirements. Your background should demonstrate not only technical proficiency but also a genuine passion for nurturing others’ development through empathetic coaching. You will have honed your ability to analyse complex regulatory risks thoroughly while communicating findings clearly to diverse audiences. Your collaborative approach will enable you to build strong relationships across departments—from front office teams through support functions—ensuring alignment on best practices. A deep understanding of evolving regulatory landscapes combined with practical interpretation skills will allow you to embed compliance seamlessly into daily operations. Above all else, your commitment to upholding values such as inclusivity, respectfulness, dependability, and shared responsibility will set you apart as an invaluable member of this high-performing team.

• Extensive experience in compliance testing or monitoring within financial services environments, ideally covering both UK and EMEA regulatory frameworks.
• Proven ability to deliver high-quality technical analysis of regulatory risks relevant to complex business activities within large organisations.
• Demonstrated track record of managing teams—including coaching junior colleagues—and fostering their professional growth through supportive leadership.
• Strong interpersonal skills enabling effective collaboration with regulators, auditors, internal quality assurance teams, front office staff, and other key stakeholders.
• Comprehensive knowledge of current UK and EU regulatory developments with an ability to interpret these practically for business operations.
• Experience designing risk-based thematic reviews as well as leading desk reviews across multiple business areas for assurance purposes.
• Ability to manage multiple priorities simultaneously while maintaining attention to detail in reporting findings to senior management.
• Adept at participating in departmental risk assessment exercises that inform strategic decision-making for compliance functions.
• Familiarity with developing or reviewing policies, procedures, systems, or controls related to compliance monitoring activities.
• Commitment to promoting equality, diversity, inclusion, and ethical conduct throughout all aspects of work.

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