At a Glance
- Tasks: Lead and deliver independent Compliance Testing for a leading Capital Markets business.
- Company: Join a well-established Capital Markets firm in the heart of London.
- Benefits: Enjoy a competitive salary, hybrid working, and great benefits.
- Other info: Dynamic role with opportunities for professional growth and development.
- Why this job: Make a real impact on regulatory compliance and internal controls.
- Qualifications: 7-9 years in Compliance Testing or Internal Audit; CIA, CISA, or CPA preferred.
The predicted salary is between 54000 - 66000 £ per year.
Sterling Williams are supporting a well established Capital Markets business in the City of London who are looking to grow their Compliance Testing function on a permanent basis.
- Compliance Testing Manager
- Permanent; full time (8.30am - 5pm)
- City of London based - hybrid working (4 days initially, then 3:2 working pattern)
- Salary circa £ pa plus benefits
Role purpose of the role is to lead and deliver independent Compliance Testing for the London business, providing objective assurance over regulatory compliance and the effectiveness of internal controls.
- Key accountabilities
- Creates the annual Test Plan for London taking into account the Business priorities, strategy and control environment
- Own, design, and execute the London Compliance Testing Plan
- Independently issues Compliance Testing reports, thematic insights, and related assurance outputs.
- Escalate material findings, themes, emerging risks through Management Information (MI) to the appropriate London Governance forums.
- Maintains effective Issue tracking, validation, and follow-up, in line with established Compliance Testing Standards and Issue management processes.
- Ensure Compliance Testing activities remain independent of first-line management, with no involvement in operational decision-making or control ownership.
- Reporting & Independence
- Reports locally to the London Head of Compliance and COO, who retain management oversight and accountability.
- Maintains a dotted-line relationship to the non-UK, Head of Compliance Testing for standards alignment, methodology consistency, and testing-related guidance.
- Has no involvement in first-line decision-making, operational activities, or ownership of controls, thereby preserving second-line independence.
- Professional qualifications and experience
- Preferably holds a CIA, CISA, or CPA qualification (or equivalent professional qualification).
- Minimum 7-9 years’ experience in Compliance Testing, Internal Audit, or a comparable second-line assurance function within financial services.
Compliance Testing Manager in London employer: Sterling Williams LTD Careers
Join a leading investment management company in London that values operational excellence and employee growth. With a hybrid working model, competitive salary, and a culture that fosters collaboration and continuous improvement, this role offers you the chance to make a meaningful impact while developing your skills in corporate actions and securities data management. Enjoy the benefits of strong stakeholder relationships and a supportive environment that encourages innovation and efficiency.
Contact Details:
Sterling Williams LTD Careers Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Testing Manager in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Sterling Williams LTD Careers looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Testing Manager in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Sterling Williams LTD Careers. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Sterling Williams LTD Careers
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Sterling Williams LTD Careers’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
