National Bank of Canada Capital Markets - London, UK
Compliance Testing Manager
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Overview:
NBCCM is an indirect wholly owned subsidiary of National Bank of Canada (“NBC”). The main strategic purpose of NBCCM is to enable the NBC Group (“NBC Group,” meaning National Bank of Canada and all its subsidiaries) to grow and diversify its presence in Europe, Asia & MENA while allowing for a natural development of its existing business relationships and the establishment of new ones in the global markets.
NBC has over 150 years of history and is currently the 6th largest Canadian bank. Through its branch and subsidiary network, NBC can service clients throughout North America, Europe, Asia & MENA. NBC’s strategy is to further develop NBCCM as its hub for trading and financial services in Europe.
Summary:
NBCCM is looking for a Compliance Testing Manager to lead and deliver independent Compliance Testing activities for the London business. The role provides objective assurance over regulatory compliance and the effectiveness of internal controls through the design, execution, and reporting of a risk-based Compliance Testing Plan.
Role purpose
Leads and delivers independent Compliance Testing for the London business, providing objective assurance over regulatory compliance and the effectiveness of internal controls.
Key accountabilities
- Creates the annual Test Plan for London.
- Own, design, and execute the London Compliance Testing Plan.
- Independently issues Compliance Testing reports, thematic insights, and related assurance outputs.
- Escalate material findings, themes, emerging risks through Management Information (MI) to the appropriate London Governance forums.
- Maintains effective Issue tracking, validation, and follow‑up, in line with established Compliance Testing Standards and Issue management processes.
- Ensure Compliance Testing activities remain independent of first‑line management, with no involvement in operational decision‑making or control ownership.
- Strong people skills, as this role will regularly interact with senior management during testing activities.
- Strong Excel and data analysis skills, as the role involves working with large amounts of data.
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Reporting & Independence
Works in a dual reporting structure. Reports directly to the London Head of Compliance and the COO, who are responsible for management oversight and accountability. Also has a dotted-line reporting relationship with the Head of Compliance Testing to ensure alignment on standards, consistent methodologies, and testing guidance.
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Professional qualifications and experience
- Preferably holds a CIA, CISA, or CPA qualification (or equivalent professional qualification).
- Minimum 9–15 years’ experience in Compliance Testing, Internal Audit, or a comparable second‑line assurance function within financial services.
What NBCCM has to offer
- Access to competitive working conditions, a wide range of employee benefits, and a dynamic work environment.
- Open, respectful workplace where all employees can achieve their full potential.
- NBCCM recognizes that the culture of an organisation and the performance of its workforce are not mutually exclusive. Since our inception in 2013, NBCCM has worked tirelessly to ensure our cultural framework aligns not only with the Code of Conduct and Ethics of our parent company, NBC, but with our own environmental and local values. Promoting and supporting diversity in the workplace is an important aspect of good people management- it’s about valuing everyone in the organisation as an individual. We at NBCCM have an effective diversity and inclusion approach concerning our employees. There are no silos in our teams and management strive to add value to our organisation, by contributing to employee well-being and engagement. NBCCM takes pride in its diverse work force, employing and cultivating professionals from all over the globe.
- Working at NBCCM can take different forms and it is built around the relationship of trust between the employer and its employees.
- We're putting people first.
- We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on peoples' lives.
- We want our recruitment process to be fully accessible. If you require accommodation, feel free to let us know during your first conversations with us.
- We welcome all candidates! What can you bring to our team?
- All data received from applicants is subject to GDPR and Data Protection requirements.
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