Major, Lindsey & Africa
Senior Associate, Compliance Monitoring & Testing (Contract)
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Senior Associate, Compliance Monitoring & Testing (Contract)
London, hybrid (3-4 days in office)
Initial 6-Month Contract (Potential Extension)
Target start date: September/October 2026.
MLA IS currently partnering with a prestigious global financial services institution to appoint an experienced Compliance Monitoring & Testing professional on an interim basis.
This is a rare opportunity to join a highly regarded compliance function within a leading international firm, working directly with senior stakeholders to deliver a risk-based monitoring and testing programme across a complex and fast-paced business.
The successful individual will play a key role in executing monitoring reviews, identifying regulatory and conduct risks, and helping shape the future direction of the firm's compliance assurance framework.
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Key Responsibilities
- Deliver end-to-end compliance monitoring and testing reviews across a range of regulated activities.
- Execute elements of the annual Compliance Monitoring Plan.
- Partner with Compliance and business stakeholders to assess key regulatory and conduct risks.
- Produce clear, concise and impactful reports, findings and recommendations.
- Evaluate existing monitoring methodologies and identify opportunities for enhancement.
- Support the ongoing development of a more data-led, continuous monitoring approach.
- Contribute to the evolution of the wider compliance monitoring framework and future monitoring plans.
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Ideal Background
- Proven experience in Compliance Monitoring, Compliance Testing or Compliance Assurance within financial services.
- Ability to independently lead reviews from planning and fieldwork through to reporting.
- Strong understanding of regulatory risk and compliance frameworks within investment banking, capital markets or broader wholesale financial services.
- Excellent stakeholder management and communication skills.
- Confident operating in a lean, high-performing environment with significant ownership and autonomy.
- Commercially minded with a pragmatic approach to managing regulatory risk.
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