Compliance Assurance

Compliance Assurance

Full-Time No home office possible
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Compliance Monitoring and Testing

A leading financial institution is seeking a talented Compliance Monitoring & Testing Associate to join its growing compliance function in London. This is a key role within the Central Compliance team, responsible for executing the firm’s annual monitoring plan and delivering assurance over regulatory and internal policy adherence across the business.

Key Responsibilities:

  • Lead and conduct end-to-end compliance monitoring reviews, including scoping, fieldwork, issue identification, and reporting.
  • Draft clear, concise, and risk-focused reports for senior management and stakeholders, highlighting findings and recommendations.
  • Work closely with stakeholders across Investment Banking, Wealth Management, and Investment Management to assess control effectiveness and ensure timely remediation of issues.
  • Contribute to the ongoing refinement of the firm’s monitoring methodology, including thematic and risk-based review planning.
  • Stay up to date with relevant regulatory developments (e.g., FCA, PRA, MiFID II) to help shape the compliance monitoring agenda.

Candidate Profile:

  • Proven experience delivering end-to-end compliance reviews within a regulated financial institution.
  • Strong report writing skills and the ability to present findings clearly to senior stakeholders.
  • Excellent stakeholder management, with the ability to build relationships across front office and control functions.
  • A background in Investment Banking, Wealth Management, or Investment Management is essential.
  • Knowledge of UK and EU regulatory frameworks and best practices.

Please reach out for more details.

J

Contact Detail:

Jacobson Garner Recruiting Team

Compliance Assurance
Jacobson Garner
J
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