Jefferson Tiley
AVP - Compliance Monitoring
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AVP – Compliance Monitoring
An opportunity for an experienced Compliance Monitoring, Compliance Assurance or Internal Audit professional looking to take on a role with genuine ownership and exposure to a growing financial services business.
My global banking client is looking for an AVP – Compliance Monitoring to join its EMEA Compliance Monitoring team in London.
Reporting to the EMEA Head of Monitoring, you will play a key role in delivering the firm's Compliance Monitoring Plan, independently executing regulatory reviews and assessing the adequacy and effectiveness of controls across the business.
Responsibilities
You will take ownership of compliance monitoring reviews from planning through to completion, including:
- Scoping and planning regulatory monitoring reviews
- Executing risk and control testing
- Assessing control design and operating effectiveness
- Reviewing and challenging evidence
- Identifying issues, risks and root causes
- Agreeing findings and remediation actions with stakeholders
- Monitoring action plans through to closure
- Producing high-quality, re-performable working papers
- Supporting Compliance Monitoring MI and reporting
- Keeping up to date with FCA requirements and regulatory developments
- Supporting wider Compliance Monitoring projects and initiatives
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You will typically deliver around eight reviews per year, working as part of a collaborative team while having significant responsibility for your own reviews.
Preferred Background
We are particularly interested in professionals with experience in:
- Compliance Monitoring / Compliance Assurance
- Internal Audit
- External Audit
- Risk & Controls / Assurance
Financial services experience is important. Experience within wholesale banking, capital markets, securities, trading or investment banking would be advantageous, although this is not essential. Backgrounds in wider financial services from retail banking, asset management, wealth management or insurance where you can demonstrate strong transferable risk, controls and assurance experience, is also welcome.
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You will need to be comfortable working independently, challenging evidence and stakeholders, managing deadlines and producing documentation that stands up to regulatory and Internal Audit scrutiny. Strong written and verbal communication skills are essential.
Why Join This Team
This is an opportunity to join a growing Compliance Monitoring function and take genuine ownership of regulatory reviews within an international banking environment. You'll work alongside experienced Compliance professionals in a team where your judgement, analytical skills and ability to challenge will be valued.
Salary: c. £72,000–£75,000 depending on experience, plus strong bonus potential and competitive benefits.
Location: London. Hybrid - 2-3 days per week in the office.
For more information, please email your CV to claire.tiley@jeffersontiley.com
Please note that this client will not offer sponsorship and so applicants must have full and unrestricted right to work in the UK.
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