Compliance Audit SME
Posted 2 days ago by Robert Half
Negotiable
Undetermined
Onsite
London Area, United Kingdom
Summary: The Compliance Audit SME role is focused on providing expert knowledge in compliance frameworks within an investment banking context. The position involves supporting the Compliance Audit function by assessing and enhancing compliance policies, procedures, and governance structures. The individual will collaborate with various stakeholders to ensure regulatory compliance and improve framework effectiveness. This role requires a strong background in compliance and internal audit within the financial services sector.
Key Responsibilities:
- Act as the SME for compliance framework design, assessment, and enhancement within an investment banking setting.
- Support and challenge the effectiveness of compliance policies, procedures, governance, and control frameworks.
- Work closely with Compliance Audit teams to review framework adequacy, identify gaps, and recommend improvements.
- Assess regulatory compliance processes and ensure alignment with internal standards and external obligations.
- Provide insight into risk and control environments across investment banking activities.
- Partner with stakeholders across compliance, audit, and business functions to strengthen framework maturity and oversight.
- Contribute to audit planning, issue validation, remediation tracking, and thematic reviews.
- Advise on best practice in compliance governance and controls within a complex financial services environment.
Key Skills:
- Strong background in compliance framework matters within investment banking.
- Experience in compliance, internal audit, and financial services.
- Prior exposure to audit reviews, control testing, or framework assurance activity.
- Deep knowledge of regulatory compliance structures, governance, and controls.
- Ability to assess and enhance compliance policies and procedures.
- Strong stakeholder management and partnership skills.
Salary (Rate): undetermined
City: London
Country: United Kingdom
Working Arrangements: on-site
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Other
Compliance Audit SME
London 5 days onsite July to December Must have the right to work in the UK. No sponsorship available. Based on general knowledge.
Role Overview
We are seeking a Subject Matter Expert with a strong background in compliance framework matters within an investment banking environment . This individual will play a key role in supporting the Compliance Audit function, bringing deep knowledge of regulatory compliance structures, governance, controls, and framework effectiveness.
Key Responsibilities
- Act as the SME for compliance framework design, assessment, and enhancement within an investment banking setting.
- Support and challenge the effectiveness of compliance policies, procedures, governance, and control frameworks.
- Work closely with Compliance Audit teams to review framework adequacy, identify gaps, and recommend improvements.
- Assess regulatory compliance processes and ensure alignment with internal standards and external obligations.
- Provide insight into risk and control environments across investment banking activities.
- Partner with stakeholders across compliance, audit, and business functions to strengthen framework maturity and oversight.
- Contribute to audit planning, issue validation, remediation tracking, and thematic reviews.
- Advise on best practice in compliance governance and controls within a complex financial services environment.
Preferred Experience
- Experience spanning compliance, internal audit, and investment banking .
- Prior exposure to audit reviews, control testing, or framework assurance activity within financial services.