GM Compliance Review Officer

We are now looking for a senior Compliance Review Officer VP level. The successful candidate will conduct compliance reviews (testing) typically of First Line controls, according to an agreed methodology and be aligned to the wider MST approach of the function.

Key deliverables:

• Conduct a planned number of desk reviews across front office controls per the testing plan
• The reviews will be based on a prior risk assessment and be driven by the output of that assessment; or by trigger events or mandatory requirements
• Engage with the Front Office and Coverage Compliance as necessary and ensure that relationship management is a key part of the role
• Ensure that the reviews are conducted according to the testing methodology
• Conduct prior communication of the reviews to the relevant stakeholders as well as ensure that the final distribution of reviews is conducted appropriately and in a timely manner
• Agree any action items during the review with the relevant stakeholders
• Produce MI for consumption by senior Front Office supervisors and other stakeholders including issue tracking MI
• Take part in all relevant supervisory meetings and activities and be an integral part of the surveillance management team
• Align all testing work with the wider MST objectives.

The successful candidate will:

• Have positive and constructive testing approach
• Use analytics to inform testing areas
• Ensure outcomes feedback appropriately into the risk assessment
• Engage with peer firms and understand industry approaches/solutions to common problems

Work Experience/Background

• Compliance background, preferably testing background
• Audit background may also be useful
• Good knowledge of the FCA MAR handbook and other relevant regulations
• Good knowledge of investment banking products
• Good knowledge of all the conduct risks inherent in an integrated investment bank
• Good written skills
• Excellent PowerPoint skills
• Excellent excel skills
• Delivery focused
• Analytical
• Able to work with aggressive deadlines.