Compliance Monitoring - Investment Banking and Asset Management

Our client a leading international Investment Bank are looking for a Compliance monitoring officer to join their team in a role offering exposure to investment banking and asset management including 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