Compliance Monitoring Officer - Investment Banking

Altus Search Ltd
Cranford, UK
Competitive salary
16 Sep 2020
22 Sep 2020
Job role
Ref: 1183ASI

Title: Compliance Monitoring Officer - Investment Banking

Location: London

Salary: Attractive

Date: 14th of September 2020

Our client, a leading financial institution is looking for a Compliance Monitoring Officer to be responsible for the support of the Global Head Offices' assurance programmes and EMEA based testing as well as monitoring activities across their investment banking business and undertake other tasks and responsibilities.

Duties Include:

  • Carry out preparation and fieldwork in respect of monitoring and review work.
  • Monitor regulatory changes to business and products to ensure that the compliance monitoring plan is adjusted adequately.
  • Conduct compliance monitoring including implementation of policies and procedures and the provision of compliance advice across the business.
  • Carry out Compliance Monitoring reviews and policy testing, providing assurance over the effectiveness of controls, conduct risk and compliance to policies and procedures.
  • Apply experience as an SME to conduct risk-based reviews of business areas to provide assurance over compliance risk to key stakeholders.
  • Collaborate with the First Line in supporting the assurance programme.
  • Developing, implementing, and executing compliance testing, continuous assurance, and reporting programs.
  • Prepare reports for the key stakeholders on the outcome of compliance testing work.
  • Reporting on compliance testing reviews and regulatory issue validation activities.

The preferred candidate will ideally have an Investment Banking background, knowledge of risk and regulations and have strong problem solving, analysis and reporting skills. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.

If you are interested in this opportunity, please email your C.V. to or call on +44 20 7430 1831 for a confidential discussion.

Our client is an equal opportunity employer and values diversity at the company. The company does not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Altus Search Ltd is acting as an employment agency about this role.