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Audit/Compliance Monitoring

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Goodman Masson

2021-12-03 08:50:43

Job location Barkingside, Greater London, United Kingdom

Job type: fulltime

Job industry: Legal

Job description

A global banking group are seeking someone to to join their Compliance Monitoring team in London. It is essential you have at least two years experience in an Audit or Thematic Reviews role.

Responsibilities:

  • Support of the monitoring and testing program
  • Input into the development and maintenance of the Compliance testing reviews methodology and associated procedures
  • Maintenance of the UK Compliance annual and multi-year testing plan
  • Creation, maintenance and review of the UK Compliance monitoring log and review of the effectiveness of the monitoring
  • Plan and conduct desk-based compliance reviews to assess the effectiveness of the bank's policies and procedures to identify potential compliance gaps
  • On completion of any review agree a clear plan of action for resolution of all identified issues within agreed timescales and ensure that all issues are resolved as agreed
  • Track, assess and report on the status of remedial action identified within reports until resolved/concluded

Requirements:

  • Solid relevant compliance, audit or regulatory testing experience in a financial institution
  • Strong knowledge and understanding of securities/banking rules, regulations, by-laws, policies and procedures

If you fit the job specification and salary requirements, please apply through the link or send your CV directly to me -

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