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Compliance Monitoring and Testing

Goodman Masson
Closing date
2 Jun 2021

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Contract Type
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Job Details

A global banking group are seeking two Monitoring and Testing specialists to join their team in London. One to be Officer level, and the other Manager level.

  • 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

  • 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, please apply through the link or send your CV directly to me -
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