Associate Director, Compliance Monitoring

Global Investment Bank, City of London. Full time with flexible working
Reference: A/9812
  • Support local Chief Compliance Officers in assessing day to day controls to manage regulatory compliance risk.  Provide opinions on effectiveness of Regulatory Compliance Management controls
  • Oversee and lead effective risk assessment to drive the UK Compliance Monitoring Plan. Lead and deliver timely and accurate compliance monitoring reviews (with limited oversight from Head of Compliance Monitoring) across business areas, to track and advise on action plans
  • Drive continual enhancement of monitoring approach and annual monitoring program. Deliver timely responses to internal audit and external regulatory enquiries as well as leading ad hoc projects and activities.
  • Requires compliance monitoring and auditing experience with a relevant compliance/auditing qualification as well as experience in banking and finance, preferably with a capital markets focus

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