Compliance Officer - Monitoring & Testing

London (Greater)
16 May 2018
15 Jun 2018
Contract Type
Full Time

Monitoring & Testing

Your new company
An excellent opportunity has arisen for a Compliance professional to join one of the largest global banks. The bank is looking to bring in an experienced Monitoring & Testing professional to work across compliance and financial crime.

Your new role
To support and assist the Head of Compliance meet regulatory requirements in respect of compliance monitoring controls for the Bank. Take responsibility for management of the Compliance Monitoring Programme through planning, preparation and completion of the rolling risk-based assessment programme through active engagement with business managers and staff.


  • Risk-assess the business undertaken and operational practices for consideration of inclusion in the Compliance Monitoring Programme.
  • Develop and maintain a risk-based approach to planning and scoping activities to be undertaken to ensure there is adequate oversight of the compliance risks across both regulated entities.
  • Plan, schedule and complete risk-based reviews appropriate to the risk-assessment of the business proposition and current regulatory and industry thinking. Ensure business knowledge, processes and controls are accurately and proportionately assessed against regulatory and internal compliance standards.
  • Apply strong analytical reasoning skills to risk-rate outcomes and determine the level of impact of issues identified.
  • Where serious concerns are identified, escalate in an effective manner to VP - Legal and Compliance and/or Head of Department, to ensure early notification to senior management and prompt action can be taken.
  • Ensure business area is kept up to date on progress of reviews being undertaken and issues being identified during the course of the review.
  • Accurately record findings, presenting these verbally and in a written format considered most appropriate for the content and the audience.
  • Ensure actions are tracked to completion, ensuring support is provided to areas as necessary through, for example, liaison with and introduction of the business to subject matter experts to allow them to provide guidance.
  • Ensure business managers understand the issues and their ownership of compliance, to enable resolution of any issues identified through relevant actions.
  • Pro-actively develop appropriate relationships with managers, so that amongst other things there is further development of personal understanding of the business and the programme.

What you'll need to succeed

  • Degree educated
  • Banking and/or Compliance Related Qualifications
  • AML / Financial Crime / Compliance Qualification desirable but not essential
  • 5+ Years Banking Experience

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

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