Senior Compliance Monitoring & Testing Manager, Associate Director - Fixed Term Contract
Posted 2 weeks ago by 1755229285
Negotiable
Undetermined
Undetermined
London Area, United Kingdom
Summary: An investment bank is seeking an Associate Director for a fixed-term contract to lead the Compliance Testing Team and manage the UK & European Capital Markets Compliance Testing plan. The role involves assessing regulatory compliance controls, providing strategic guidance to senior stakeholders, and conducting compliance monitoring reviews. The ideal candidate will have extensive experience in Regulatory Compliance within Financial Services and familiarity with audit and risk monitoring environments. Experience in data analytics or AI is a plus.
Key Responsibilities:
- Lead the Compliance Testing Team and drive the Compliance Testing plan for UK & European Capital Markets.
- Assess the adequacy, adherence, and effectiveness of day-to-day controls in managing regulatory compliance risk.
- Provide strategic guidance to senior stakeholders on Regulatory Compliance Management controls.
- Deliver timely and accurate compliance monitoring reviews on the adequacy of systems, controls, and processes.
- Interact regularly with senior stakeholders across Capital Markets, Asset Management, and Wealth Management.
Key Skills:
- Extensive Regulatory Compliance experience within Financial Services.
- Experience in Audit, Risk Monitoring, or Compliance Testing environments.
- Familiarity with data analytics or AI is highly beneficial.
- Strong communication and stakeholder management skills.
Salary (Rate): undetermined
City: London Area
Country: United Kingdom
Working Arrangements: undetermined
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Finance
An excellent opportunity has arisen at a leading investment bank for an Associate Director to join on a fixed-term contract covering maternity leave, leading the Compliance Testing Team and driving the UK & European Capital Markets Compliance Testing plan. In this role, you will be responsible for assessing the adequacy, adherence and effectiveness of day-to-day controls in managing regulatory compliance risk. You will also provide strategic guidance to senior stakeholders on the performance of Regulatory Compliance Management controls, ensuring they meet all applicable regulatory requirements. You will also lead and deliver timely and accurate compliance monitoring reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk This is a broad role that has regular interaction with senior stakeholders across all lines of business including Capital Markets, Asset Management and Wealth Management. They are looking for someone with extensive Regulatory Compliance experience within Financial services who has experience within a relevant Audit, Risk Monitoring, Compliance testing environment to strive in this role. Any experience of data analytics or AI would be highly beneficial. In return they are offering a competitive salary, an excellent work life balance and the opportunity to work for a bank that has an inclusive culture and low staff turnover. Please apply in order to set up a call to discuss this opportunity in more detail.