Compliance Professionals
Compliance Monitoring - AVP
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International Wholesale Bank, London (EMEA)
A major international bank is hiring an Assistant Vice President to join its EMEA Compliance Monitoring team. Reporting to the EMEA Head of Monitoring, you will execute reviews under the Compliance Monitoring Plan and help the function operate as an independent second line of defence, assessing whether processes and controls meet regulatory obligations.
The role
You will plan, test and document monitoring reviews, raise and follow up issues, and support management information for the Compliance Monitoring Programme. The work covers financial services, markets, securities and banking activity across the three lines of defence.
Key responsibilities
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- Execute testing on assigned reviews on time and in line with Compliance Monitoring procedures
- Document testing clearly, concisely and in a re-performable way
- Assist with scoping and planning of monitoring reviews
- Keep review stakeholders updated so there are no surprises at close-out
- Report findings to the Head of Monitoring in good time, before review completion, so issues can be escalated
- Own the factual accuracy and quality of working papers and findings
- Keep assigned review files complete to Monitoring standards
- Document issues, risks, root cause, impact and remediation actions, with support from the Head of Monitoring
- Follow up action plans to deadline and collect robust closure evidence; escalate overdue items and extension requests promptly
- Support ad-hoc work, CMP management information and Monitoring projects
- Attend Compliance meetings and complete mandatory training on time
- Maintain a working knowledge of the FCA Handbook, key products, business operations and relevant regulatory change
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Requirements
- Good knowledge of financial services, markets, securities and banking
- Sound understanding of compliance risks and controls; a monitoring background is essential
- Regulatory awareness, including the emerging UK and EMEA landscape
- Ability to run several reviews or projects at once, and to deliver them on time
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