Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Conduct compliance monitoring reviews and draft reports for senior management.
- Company: Join a leading international banking group with diverse business areas.
- Benefits: Gain valuable experience in a dynamic environment with potential for growth.
- Why this job: Make an impact by ensuring regulatory compliance and enhancing risk management.
- Qualifications: Experience in compliance monitoring and strong understanding of financial regulations required.
- Other info: Collaborate with various teams and stay updated on UK and EU regulations.
The predicted salary is between 43200 - 72000 £ per year.
A leading international banking group is looking for a Compliance Monitoring & Testing professional to join its second line of defence. This role offers exposure across the firm’s core business areas, including investment banking, asset management, and wealth management, and plays a key part in assessing regulatory compliance and conduct risk.
The Role
You will be responsible for designing, planning, and executing risk-based compliance monitoring reviews across the firm’s regulated activities. These may be desk-based or thematic in nature and will involve testing adherence to internal policies and external regulatory requirements (e.g., FCA, PRA, MiFID II). Your work will include preparing scoping documents, fieldwork, issue identification, drafting of detailed reports, and tracking of remediation plans. You'll work collaboratively with business lines, advisory compliance, legal, and internal audit to ensure findings are accurate, proportionate, and well understood by stakeholders.
Key Responsibilities
- Deliver end-to-end compliance reviews in line with the annual monitoring plan
- Draft clear, concise reports and present findings to senior management
- Identify areas of regulatory and conduct risk, propose practical recommendations
- Support the development and continuous improvement of the monitoring framework
- Maintain up-to-date knowledge of UK and EU regulatory expectations
What We’re Looking For
- Proven experience conducting compliance monitoring or testing reviews
- Strong understanding of financial services regulation (e.g., FCA Handbook, MiFID II)
- Experience with either thematic or desk-based reviews is essential
- Excellent communication, report-writing, and stakeholder management skills
- Exposure to investment banking, asset management, or wealth management is a plus
Compliance Monitoring & Testing (City of London) employer: Jacobson Garner
Contact Detail:
Jacobson Garner Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring & Testing (City of London)
✨Tip Number 1
Familiarise yourself with the latest UK and EU regulatory frameworks, especially the FCA Handbook and MiFID II. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals already working in compliance roles within investment banking, asset management, or wealth management. Attend industry events or webinars to make connections and gain insights into the specific challenges they face.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've identified compliance risks or conducted monitoring reviews. Use the STAR method (Situation, Task, Action, Result) to structure your responses effectively during interviews.
✨Tip Number 4
Showcase your report-writing skills by preparing a mock compliance report based on hypothetical findings. This will give you a practical example to discuss in interviews and highlight your ability to communicate complex information clearly.
We think you need these skills to ace Compliance Monitoring & Testing (City of London)
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Compliance Monitoring & Testing position. Familiarise yourself with key terms like FCA, PRA, and MiFID II to demonstrate your knowledge in your application.
Tailor Your CV: Highlight your relevant experience in compliance monitoring or testing reviews. Be specific about your previous roles, especially if you've worked in investment banking, asset management, or wealth management. Use keywords from the job description to align your CV with the role.
Craft a Compelling Cover Letter: In your cover letter, explain why you're interested in this position and how your skills match the requirements. Discuss your experience with regulatory compliance and your ability to draft clear reports. Make it personal and engaging to capture the hiring manager's attention.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in compliance roles. Consider asking a friend or colleague to review it as well.
How to prepare for a job interview at Jacobson Garner
✨Know Your Regulations
Make sure you have a solid understanding of the key regulations relevant to the role, such as the FCA Handbook and MiFID II. Being able to discuss these in detail will show your expertise and readiness for the position.
✨Prepare for Scenario Questions
Expect questions that ask you to describe how you would handle specific compliance scenarios. Think about past experiences where you've identified risks or proposed solutions, and be ready to share those examples.
✨Showcase Your Report-Writing Skills
Since drafting reports is a key part of the job, be prepared to discuss your report-writing process. You might even want to bring a sample report (with sensitive information redacted) to demonstrate your ability to communicate findings clearly.
✨Engage with Stakeholders
Highlight your experience in working collaboratively with various stakeholders. Be ready to discuss how you ensure that your findings are understood and acted upon, as this is crucial for the role.
