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Audit, Risk and Compliance

Our Audit, Risk and Compliance division has a wealth of experience and an extensive network of contacts enabling them to provide a bespoke service, successfully supporting the unique requirements of every Audit, Risk and Compliance job and each of their varying clients.


Our specialist consultants offer an array of recruitment solutions. Their indepth industry knowledge enables them to support both permanent and interim candidates throughout their career.

They operate across multiple sectors covering investment banks, asset management houses and brokers/securities trading firms. Their key volume accounts coupled with both repeat and spot business has allowed the team to consistently deliver results in spite of recruitment and economic cycles.

Specialising in the following key areas of Audit:

Corporate and Investment Banking; Global Markets Sales and Trading (Equities, FX, Fixed Income, Commodities); Corporate Finance (M&A, Advisory, ECM, DCM, ABS, Structured Finance); Risk Management (Market, Model/Quant, Credit, Operational, Country); Compliance (Legal, Regulatory, Financial Crime); Finance; Operations; Retail Banking; Private Banking; Asset and Investment Management; Clearing, Payments and Brokerages; Insurance and Niche Financial Services


Specialising in the following key areas of Compliance:

General and strategic regulatory oversight – including CF10 and CF11; Products advisory – covering equities, fixed income, derivatives, commodities and structured products; Monitoring and surveillance – including testing and audit-based Compliance; Compliance reviews; Disclosures and large shareholder reporting; AML/Financial Crime – including Anti-Bribery and Corruption, Sanctions and CTF; KYC/Due Diligence – client on-boarding; Financial promotions; Training and Competence/Approved Persons; Control Room – covering Research, insider list maintenance and conflict analyses; Policy implementation – this includes Regulatory Affairs specialists and Compliance Trainers


Specialising in the following key areas of Risk:

Credit Risk; Market Risk; Model Validation; Operational Risk; Risk Change and Business Analysis and Treasury Risk

Let our team support you in your search for new talent or your next career move. Please contact us at, or to discuss your requirements with our specialist team of recruitment consultants.

“Investigo were always the most helpful and approachable, and the most proactive, always being the first to update me when new roles became available. Their experience and knowledge in this field was evident, and this helped greatly when providing me with guidance during the interview stages.” Derek Wong, Regulatory Capital Analyst, Barclays


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