At a Glance
- Tasks: Manage and deliver high-quality Compliance Reviews across Europe, ensuring compliance risks are mitigated.
- Company: Join a leading financial services firm committed to ethical standards and sustainability.
- Benefits: Enjoy flexible working arrangements, generous holiday allowance, and extensive wellbeing support.
- Other info: This role offers hybrid working options and a chance to contribute to Net Zero commitments.
- Why this job: Make a real impact in a responsible economy while growing your career in a dynamic environment.
- Qualifications: Professional qualifications and experience in Compliance roles within financial services are essential.
The predicted salary is between 68000 - 102000 £ per year.
Our client is seeking a highly skilled and experienced Compliance Manager to join their team. This role offers the opportunity to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards. The successful candidate will be part of an independent function providing specialist advice and support in adhering to internal controls and external rules, managing compliance risks, and overseeing the 1LoD control framework through Independent Testing.
- Opportunity to work in a dynamic and supportive environment
- Chance to contribute to a responsible and sustainable economy
- Role involves managing compliance risks and overseeing internal controls
What you'll do:
As a Compliance Manager, your primary responsibility will be managing and delivering high-quality Compliance Reviews/Independent Testing across business lines throughout Europe. You will be expected to lead and drive forward allocated programs of risk-based thematic, transversal, targeted, and desk-focused Compliance reviews. Your role will also involve challenging the 1LoD control framework, ensuring that compliance risk is appropriately mitigated. You will also be tasked with preparing detailed reports outlining key findings from reviews.
- Contribute to the planning of independent testing and control execution
- Lead and drive forward allocated program of risk-based thematic, transversal, targeted and desk focused Compliance reviews
- Challenge the 1 LoD control framework including control applicability, design, methodology as well as other factors
- Deliver Independent Testing and Controls within set deadlines
- Prepare detailed report concluding the review outlining key findings and agreed remediating actions
- Analyse submitted evidence by Action Plan Owners to ensure sufficiency for Team Manager(s) acceptance
What you bring:
The ideal candidate for this Compliance Manager role will bring professional qualifications and prior experience in a Compliance role in controls testing within a financial services environment. You should have detailed knowledge of specific Compliance principles and processes in control testing applicability, testing programmes, controls results, and reporting. A good understanding of global markets, global banking, securities services or treasury products is essential. Excellent analytical skills are required along with strong people management skills.
- Professional qualification and prior experience in a Compliance role in controls testing in a financial services environment
- Detailed knowledge of specific Compliance principles and processes in control testing applicability, testing programmes, controls results and reporting
- Good understanding of global markets, global banking, securities services or treasury products
- Excellent analytical skills with ability to translate knowledge into advice and recommendations
- Strong people management skills with ability to train and mentor team members
- Excellent written and oral English skills
What sets this company apart:
Our client is committed to creating an optimal work/life balance for its employees. They offer flexible working arrangements including hybrid working options. They are proud of their award-winning flexible benefits which include generous holiday allowance, valuable financial plans, extensive wellbeing and mental health offering, and key onsite services and facilities. They are also committed to having a positive impact in the world, with commitments to Net Zero in all of their financing and investment portfolios by 2050.
What's next:
If you're ready to take your career to the next level in a role that offers challenge, growth and a chance to make a real difference, apply today!
Compliance - Controls / Assurance / Testing in London employer: Robert Walters UK
Our client is an exceptional employer, offering a dynamic and supportive work environment in London that prioritises work/life balance through flexible working arrangements, including hybrid options. Employees benefit from generous holiday allowances, comprehensive wellbeing programmes, and the opportunity to contribute to a sustainable economy, all while advancing their careers in compliance within the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance - Controls / Assurance / Testing in London
✨Tip Number 1
Familiarise yourself with the latest compliance regulations and frameworks relevant to the financial services sector. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in controls testing. Attend industry events or join online forums to connect with others and gain insights into best practices and current challenges in compliance management.
✨Tip Number 3
Prepare to discuss specific examples from your past experience where you successfully managed compliance risks or led independent testing initiatives. Being able to articulate these experiences clearly will set you apart during the interview process.
✨Tip Number 4
Showcase your analytical skills by being ready to discuss how you approach problem-solving in compliance scenarios. Highlight any tools or methodologies you use to analyse compliance data and report findings effectively.
We think you need these skills to ace Compliance - Controls / Assurance / Testing in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights relevant experience in compliance, controls testing, and risk management. Use keywords from the job description to demonstrate that you meet the specific requirements of the role.
Craft a Compelling Cover Letter:In your cover letter, explain why you are passionate about compliance and how your skills align with the company's commitment to ethical standards. Mention your experience in managing compliance risks and preparing detailed reports.
Showcase Analytical Skills:Provide examples in your application that showcase your analytical skills. Discuss how you've successfully translated complex compliance principles into actionable recommendations in previous roles.
Highlight People Management Experience:If you have experience in training or mentoring team members, make sure to include this in your application. Strong people management skills are essential for this role, so provide specific examples of how you've developed others in a compliance context.
How to prepare for a job interview at Robert Walters UK
✨Understand Compliance Principles
Make sure you have a solid grasp of compliance principles and processes, especially in controls testing. Be prepared to discuss how these principles apply to the role and provide examples from your past experience.
✨Showcase Analytical Skills
Highlight your analytical skills during the interview. Prepare to discuss specific instances where you've successfully analysed compliance risks or challenges and how you addressed them effectively.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about potential compliance issues you might face in the role and how you would handle them.
✨Demonstrate People Management Experience
Since strong people management skills are essential for this role, be ready to share examples of how you've trained or mentored team members in previous positions. This will show your capability to lead and develop others.
