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Compliance Monitoring - Associate Director

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Salary £80k to £100k
Type Permanent
Location London
Sector Compliance
Job Reference T3A/HGW/31945
Contact Harry Warwick
Date posted 24-06-2019

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
enquiries.
• 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.

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Contact Harry about this job

Director, Compliance, Legal, Finance & Ireland