Latest Vacancies in Asset Management Audit



Director – Smaller Financial Services Practice, Internal Audit (attractive work life balance)

UK / EEA VISA required

London based role with small team of a global practice firm seeking an experienced Ex Head of Audit or Practice Director to lead / coach a team of auditors and help build the business.  The role oversees a portfolio of client work delivering fully outsourced / co-sourced internal audit and assurance assignments.

Responsibilities:

As an outsourced Head of Internal Audit, you will be responsible for the full lifecycle of planning, execution, reporting and committee meetings, lead client work, finalise scope with clients, overseeing team member delivery, and execute quality assurance reviews of internal audit files and reports.

As a Director you will be responsible for onboarding new clients, assessing fees and budgets, managing contracts, Billing, invoicing and recovery management. You will also assist in business development initiatives and create tender proposals leading presentations and target client visits. A small team of Associates, Managers and contract staff are in place who you will be responsible for direct line management, resource planning, recruitment and time management.

Knowledge:

  • Internal Audit
  • Compliance and Risk Management Frameworks (FCA)
  • Conduct Risk Management
  • Regulatory reporting (COREP / FINREP)
  • Client Money and Assets (CASS)
  • CRD IV

Ideally you will have a wide exposure to difference FS industries:

  • Retail Banking
  • Corporate Banking
  • Investment Management and Wealth Management
  • Securities, exchanges and trading services

Some travel across the south east UK and possibly overseas travel is required,

Apply to Paul Stanbridge for more information or an informal conversation.

EMEA lead Audit role in London for a Global Wholesale Banking Audit professional. This is a great position for someone who’s been a VP Auditor for a while with a large global Bank and now interested in gaining more senior exposure with a broader remit. There will be some committee work from time to time and the need to deputise for the Global Head of Compliance Audit (also based in London) alongside day to day Audit testing and fieldwork.

You will either have:

  1. Managed core Compliance / Financial Crime Audits or
  2. A variety of wholesale banking audit experience with a strong interest in moving into Compliance / Fin Crime Audit.

Apply to me at paulstanbridge at fleet-search.com for more information.

Short term contract (two+ weeks) AML Audit testing role for a small London based bank. If you have AML Audit experience and would be interested in a testing role please forward a copy of your CV.

Experienced Prudential and Conduct Regulatory Risk or Audit professional required for expanding specialist Financial Services Consulting practice.

As a Director you will lead the firms PRA / FCA Risk services, reviewing complex Regulatory Risk issues and investigating client Risk controls.

You will be expected to have experience in a number of the following: Conduct Risk, Financial Crime KYC/AML/ Sanctions, MiFID II / CASS / COBS / SMCR, Compliance frameworks, ICAAP/ILAAP, and Recovery and Resolution Planning.

You will also need to demonstrate Team Leadership and Business Development skills as well as the ability to negotiate winning business contracts.

Apply today for more information.

 

 

 

Excellent Banking Package

Our client, a major London based international investment banking group, is looking for a compliance and regulatory specialist to head up the regional Compliance Audit function. You will need to possess:

– Excellent knowledge of recent Wholesale Banking regulatory and governance framework (Financial Crime, AML anti-bribery) as well as MiFID 2 and combined code / UK Corporate Governance Code;

– The ideal candidate will most likely have worked as a practitioner in legal and compliance within a Global Markets Banking firm, or lead Audit teams focusing on Global Markets Regulatory, compliance and governance.

– Applicants must have an EU / UK Visa.

To be considered for the role please apply to Paul Stanbridge with a copy of your CV.

Job Type: Full-time

Required experience:

  • Practitioner Compliance / Regulatory Global Markets Banking: 10 years

 

Our client is a European Bank with a strong presence in the London market.  They are seeking someone to join the Compliance Audit Team covering compliance risk. The role offers excellent exposure to all the main risks of the firm across a range of business and product lines. The ethos of the business is one of professional nurture, and they offer great career development potential for the right candidates.

Role Highlights

  • Leading and participating in audit activities to assess risk, and ensuring that all work undertaken meets agreed timescales .
  • Supervising and coaching small teams as required
  • Managing relationships, liasing with stakeholders, and collaborating with other teams as required
  • Producing required management information (MI) for Senior Management.
  • Experience in meeting tight deadlines whilst maintaining accuracy and attention to detail.
  • Effective communication skills, both verbal and written

 

Requirements

  • Good academic and professional qualifications, including ACA
  • Experience of compliance internal audit, either through another banking institution, or as part of a Big 4 Assurance Team

 

In addition to base salary, the role offers an excellent flexible benefits package including Private medical Insurance, Pension, and generous holiday allowance, and all benefits you would expect from a financial institution of stature

 

Internal Auditor Compliance and AML job

Our client, a Tier 1 Institution, is seeking an experienced senior internal auditor (compliance and AML) to join a small internal audit team with responsibility for compliance across the organisation. Using expert understanding of the regulatory frameworks and developments impacting on financial services and drawing on prior experience in a similar environment, the successful candidate will play a key role in all aspects of the internal audit process.

 

Essential Skills:

  • Prior experience in a similar compliance role within a tier 1 bank or financial services organisation.
  • Undergraduate degree or equivalent experience
  • Professional qualification
  • Excellent communication skills
  • Proven track record developing and maintaining strong working relationships with team members, senior managers and stakeholders.

Our client, a Tier 1 Institution, is seeking an experienced senior auditor to join a small internal audit team with responsibility for compliance across the organisation. Using expert understanding of the regulatory frameworks and developments impacting  on financial services and drawing on prior experience in a similar environment, the successful candidate will play a key role in all aspects of the internal audit process.

Essential Skills:

Prior experience in a similar compliance role within a tier 1 bank or financial services organisation.

Undergraduate degree or equivalent experience

Professional qualification

Excellent communication skills

Proven track record developing and maintaining strong working relationships with team members, senior managers and stakeholders.

Our client a leading financial services firm with a global presence is seeking an experienced senior auditor to join a small internal audit team with responsibility for compliance across the organisation’s central functions.  Using expert understanding of the regulatory frameworks and developments impacting on financial services and drawing on prior experience in a similar environment, the successful candidate will play a key role in all aspects of the internal audit process.

Essential Skills:

  • Prior experience in a similar compliance role within a tier 1 bank or financial services organisation.

  • Undergraduate degree or equivalent experience

  • Professional qualification

  • Excellent communication skills

  • Proven track record developing and maintaining strong working relationships with team members, senior managers and stakeholders.

This is a senior role within the Internal Audit team covering Capital Regulatory Reporting within Global Markets. The successful candidate will take the lead in audits which are centred around Capital Regulatory Reporting covering areas including ICAAP, CRD4 and Standard Rules Capital Calculations.  Additionally, you will support the Audit function conducting non regulatory orientated audits, eg front to back reviews, and provide specialist input into a range of other audits including VaR waivers and other areas as necessary. The role also involves acting as the Subject Matter Expert (SME) for Regulatory Reporting within the Internal Audit Team. 

Requirements

Minimum 4 years PQE either auditing Regulatory Reporting functions within a major banking group, working as a Consultant covering clients requiring Regulatory guidance or experience of working within a Regulatory Reporting group at a major institution.

Knowledge of current BASIL regulations
Capital Requirements Directive (CRD4) knowledge
Internal Capital Adequacy Assessment Process (ICAAP)

Whilst NOT essential it would be useful to have experience of conducting Internal Audits with the ability to lead a small team.