CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
We are partnered with a global banking group who have an opportunity for a Senior Compliance Monitoring & Advisory to join their Central Services Compliance team based in London. This is an exciting opportunity to join a stable but dynamic team as an integral member. There is scope to advise senior stakeholders and establish strong working relationships with multiple business lines. Based in the City.
Responsible for the monitoring programme for multiple business lines and regulatory investigations.
Develop the annual monitoring and reviews plan.
Conduct desk based and thematic reviews in accordance with the plan, including scoping, testing and report drafting.
Assist with the annual update of the Compliance Risk Assessments.
Operational Risk Assessments.
Scoping and drafting tests and reports.
Track and validate the remediation of the issues identified during the reviews.
Conduct investigations, including electronic surveillance.
Assist in integration of the monitoring results with the wider risk framework.
Assist with the Compliance Risk Assessments harmonisation across business lines.
Participate in other change programmes, including integration of new systems and technology to enhance and further develop existing compliance processes.
Experience and Qualifications:
Appropriate experience gained in monitoring and reviews within a compliance function of a financial services institution.
Understanding of Private Debt Funds and Investment Banking, knowledge of the relevant regulatory environment and applicability to the business.
Understanding of private equity / private debt funds is desirable but not essential.
Internal Number: 5853170
About Charles Levick
eFinancialCareers is a career site specializing in financial services.