Compliance Assurance

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.