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Compliance Monitoring - Investment Bank

  • Location London
  • Job type Permanent
  • Reference BBBH134735
  • Salary £70000 - £90000 per annum
  • Specialisation Compliance
  • Posted July 21, 2022

Our client a leading international Investment Bank are looking for a Compliance monitoring officer to join their team in a role offering exposure to trading desks, business functions, and cross business themes.

Responsibilities

  • The role involves planning, reviewing, testing and reporting thematic reviews in relation to regulatory risks identified during the annual risk and control self assessment (RCSA).
  • Develop and maintain an understanding of applicable regulation and the associated policy and control framework
  • Identify and remediate potential weaknesses in process and controls
  • Respond to regulatory change to ensure the monitoring program is fit for purpose

Requirements

  • Experience of regulatory monitoring and testing in a financial services environment
  • Ability to interact with stakeholders from a variety of functions and business lines
  • Knowledge of investment banking products and applicable regulation

For more information please get in touch at chris.roots@investigo.co.uk