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Compliance Testing Officer - VP

Salary £100k to £130k
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/26438
Contact Adam Pollard
Date posted 06-07-2017

A Global Investment Bank is currently looking for a VP Compliance Testing Officer to join their Compliance Testing team in London. The Compliance Testing Team’s main objective is to create and execute detailed compliance reviews to assess compliance with regulations and firm policies.

As the Compliance Testing Officer your main duties will include:

• Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results
• Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals
• Multi-task – have the ability to work on several different reviews with different individuals at the same time
• Leverage strong communication skills to interact with Compliance and business senior management

The successful candidate will have:

• Deep understanding of the products offered by the Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks
• Auditing, testing, regulatory/law enforcement or trading experience
• Experience in the financial services industry, either working for another broker dealer, law firm, big 4 firm or regulator
• Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications would be useful)
• Fluency in French, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus

For more information on the role please contact Adam Pollard on 02031453348 or

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Contact Adam about this job

Associate, Consultant