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Assistant Vice President - Compliance Testing and Monitoring - London, United Kingdom,


An overseas investment bank are looking for an AVP to join their Compliance Testing and Monitoring team.

The purpose of the role is to deliver a risk based programme of second line compliance for the banks EMEA region. The role additionally involves support of both the Global Head Office assurance programme and EMEA based testing which will also include opportunities to travel to offices located within EMEA if desired by the candidate. The role may also involve ad-hoc investigations, projects and thematic reviews.

In addition to this, duties include:

  • Applying experience as an SME to conduct risk based reviews and deep dives of the London banking business areas to provide assurance over compliance risk to key stakeholders
  • Scoping reviews and developing test programmes for the banking business areas and assisting in the creation on the Annual Assurance Plan
  • Performing electronic and audio communications monitoring to identify and investigate market abuse and general compliance breaches by London based staff
  • Managing and taking ownership of the remediation of compliance issues identified
  • Regularly meeting with and engaging with key business stakeholders in order to identify key risk areas and refresh the annual risk assessment on a periodic basis

It is essential you have experience in a compliance assurance and testing function.