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Our Client, a dynamic Bank is looking to hire a Compliance Monitoring Manager as part of a team to support local Chief Compliance Officers (CCOs) in fulfilling their responsibilities defined under the Bank's Regulatory Compliance Management Framework. Specifically, their role in:
Assessing the adequacy of, adherence to and the effectiveness of the day-to-day controls to manage regulatory compliance risk; and
Providing an opinion to senior fora on the effectiveness of the Regulatory Compliance Management (RCM) controls in achieving compliance with the applicable regulatory requirements.
What will you do?
The Compliance Monitoring Manager will be required to:
1. Assist in the completion of effective risk assessments to drive the UK ( European for Capital Markets) Compliance Monitoring Plan;
2. Under the stewardship of the Head of Compliance Monitoring, Europe:
- Lead and deliver timely and accurate compliance monitoring reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk (across Capital Markets, Asset Management & Wealth Management); Work with Compliance and business colleagues to track and advise ( where appropriate) on the appropriateness of actions plans to resolve issues identified during monitoring reviews;
3. Contribute towards the continual enhancement of the monitoring approach and annual monitoring program (including providing ideas for developing/improving the approach to continuous business monitoring and, where relevant, enhancing the existing Enterprise Monitoring and Testing control standards);
4. Assist in the delivery of timely responses to internal audit and external regulatory enquiries; and
5. Support ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).
What do you need to succeed?
Relevant experience in Control Testing
Solid relevant experience in Audit, Compliance Monitoring or a Testing Team
Good communication and stakeholder management skills
Bachelor's degree (or equivalent)
Experience in Capital Markets is strongly preferred