Compliance Monitoring - Associate Director - London, United Kingdom,
BRUIN financial is currently working with a leading multinational financial services company to find a Associate Director to join and lead the Compliance Monitoring team. As the Associate Director you will be primarily assisting the team by assessing the adequacy and effectiveness of the day-to-day controls established to manage regulatory compliance risk.
Key responsibilities of the role:
• Oversee and, where required, lead the completion of effective risk assessments to drive the UK (European for Capital Markets) Compliance Monitoring Plan.
• Lead and deliver timely and accurate compliance monitoring reviews that opine on the adequacy of 1st and 2nd line systems, controls and processes to manage Regulatory and Conduct risk.
• Deliver timely responses to internal audit and external regulatory
• Lead ad-hoc projects and activities as required.
Ideal Candidate requirements:
• Bachelor's degree
• Experience in Banking and Finance, preferably with a Capital Markets focus.
• Compliance Monitoring and Auditing experience.
Director, Compliance, Legal, Finance & Ireland
Address: BRUIN Financial, WeWork No.1 Poultry, London, EC2R 8EJ.