Compliance Monitoring Officer - Investment Banking

Altus Search Ltd
London (Greater)
08 Mar 2018
14 Mar 2018
Contract Type
Full Time

Our client, a Global Financial Institution is looking for a Compliance Monitoring Officer to be responsible for monitoring activities across their investment banking business. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.

Duties include:

  • Conduct compliance monitoring including implementation of policies and procedures and the provision of compliance advice across investment banking business.
  • Prepare compliance risk assessments in line with the compliance monitoring plan.
  • Carry out preparation and fieldwork in respect of monitoring and review work.
  • Prepare reports for the key stakeholders on the outcome of compliance monitoring work.
  • Monitor changes in regulatory developments and ensure that potential impacts are appropriately managed.
  • Deliver and execute compliance monitoring plan in accordance with internal group standards.
  • Monitor the progress of operational and regulatory risk linked to the business and resolve issues when necessary.

The preferred candidate will ideally have an investment banking or wholesale banking background and be able to demonstrate a strong understanding of conducting audit style reviews of a business/product area. You will possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.

If you are interested in this opportunity, please email your C.V. to ************************* or call on ************* for a confidential discussion.

Our client is an equal opportunity employer and values diversity in the company. The company does not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Altus Search Ltd is acting as an employment agency in relation to this role.

This job was originally posted as

Similar jobs

Similar jobs