Latest Vacancies in Compliance Audit



Are you an experienced Banking Internal Auditor or Big 4 Risk Assurance professional with Banking experience, looking for a new challenge?

If you have a few years experience in a corporate or wholesale banking audit and are frustrated with the lack of career development and professional challenges but want to maintain a good work life balance, apply below.

We have multiple opportunities with Internal Audit teams of a number of interesting International Banks with operations in London. The emphasis is across front middle and back office operations including: Financial Crime, Regulatory reporting, Corporate Banking (Credit and Loans), Capital Markets (Swaps, Equities, FX) and IT General Controls (ITGC).

If this interests you and you are looking for a rewarding role in a friendly team offering excellent industry salary and bonus contact, Craig Phipps with your CV to be considered for the position.

Unfortunately our Client are unable to support sponsorship for non UK Citizens or Visa holders.

This is a key lead Audit role in an established Compliance Audit team of a global banking group. You will need to have previous Compliance or Regulatory Audit experience to apply.

*  You will receive an excellent level of support and leadership from some of the most experienced and trusted senior managers in the market. *

The role:

You will have the opportunity to plan audit fieldwork with the Regional and Global Audit Directors and agree action plans with senior key auditees. You will also engage in special projects, advisory and investigations work. Long term career advancement is encouraged with continuing professional development.

Experience Required:

  • Conducting Audits within an Investment Banking business, either directly or via a major financial institution / Big 4 firm.
  • Compliance experience covering one or more of: Global Markets  / Surveillance / Conflicts Management / Swap Dealer Broker / Financial Crimes / Conduct or Corporate Governance.

Job summary: Consultancy firm seeking senior professionals from a Big 4 / Consultancy background, with large investment Bank or Capital Markets clients experience in a Co-sourced / outsourced business model, offering Internal Audit, Risk Assurance, Compliance, Regulatory Risk Services.

Global firm has experienced strong growth in their Risk and Internal Audit consultancy services team and are now seeking to hire a Big 4 trained Senior Manager to help support the partners to continue to grow the now well established co-sourcing / outsourced risk services practice for large banking, capital markets and asset management clients. You will work closely with the Partners to help grow the business by using your senior level sector and industry knowledge to network and sell the firms services to current and new financial services clients.

The firm offer excellent work / life balance and have a genuinely engaged workforce and collegiate working practice.

Promotion prospects to Director and beyond.

The firm will consider sponsoring a UK VISA if the candidate has the requisite experience and is available to start in the UK in c.3 months time.

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.