Compliance Monitoring Manager

London, England, United Kingdom
300 - 390
05 Nov 2018
09 Nov 2018
Contract type
Full time


My client a leading financial services client within London is currently recruiting for a Compliance Monitoring Manger to join them on a contract basis in London. You'll be joining the Compliance monitoring team in the UK, with coverage of all platforms in Europe - Capital Markets, Investor & Treasury Services, Wealth Management & Global Asset Management - providing a unique opportunity to develop a holistic appreciation of the wide ranging client offerings and business activities.


  • 5+ experience in Banking and Finance, preferably with a Capital Markets focus.
  • 2+ years of Monitoring and/or Auditing experience.


  • Assist in the completion of effective risk assessments to drive the UK Compliance Monitoring Plan;
  • 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, I&TS, GAM & WM);
  • 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;
  • Contribute towards the continual enhancement of the monitoring approach and annual monitoring program (including contributing towards the planning and scoping of risk based continuous business monitoring, thematic reviews & deep dive outcomes based investigations);
  • Support the delivery of timely responses to internal audit and external regulatory enquiries; and
  • Undertake ad-hoc projects and activities as required (methodology improvements; stakeholder management; committee reporting).

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