Latest Vacancies in Compliance Audit



Working within a function responsible for assuring legal and regulatory obligations for financial services are met, this role involves anticipating, identifying and managing risks across a business. This role would suit someone with a background in compliance audit and comprehensive knowledge of the infrastructure of large investment institutions in financial services.

Reporting directly to the Senior Internal Audit Manager, this role involves advising audit (I had put assessment originally but took it out again) teams of legislative and regulatory frameworks impacting financial services across Eurasia.

Responsibilities

  • Using a thorough knowledge of regulatory frameworks and legislation affecting financial services across Europe as the basis for developing and implementing assessment activities including:  process mapping, completing risk assessments, developing audit program and testing procedures
  • Providing report content for senior staff and overseeing delivery,  follow up and progression of assessment matters.
  • Developing and implementing assessment activities including:  process mapping, completing risk assessments, developing audit program and testing procedures.
  • Providing report content for senior staff and overseeing delivery,  follow up and progression of assessment matters.
  • Developing excellent working relationships with colleagues to improve function practice, participating in committees as required.
  • Mentoring team members and developing own practice through regular meeting with assigned line manager.

 Requirements

Essential

  • Educated to degree level or with considerable experience in financial services compliance
  • Thorough knowledge of legislation and governing frameworks informing financial services practice across Europe and the Middle East.
  • Excellent communication skills and thorough knowledge of industry standard software.
  • Willingness to travel

Desirable

  • Broad understanding of audit governance
  • Multi-lingual

Strong Regulatory professional sought to give compliance and regulatory assurance to the Retail Banking Audit team.

You will be familiar with recent FSA / FCA RCOB rules for risk and controls. You will have experience from a compliance function or have audited the compliance function within a large Retail investment, insurance or banking group. You will have the opportunity to develop knowledge of Compliance risk as well as provide expertise to other internal audit areas whenever there is a requirement. As a Regulatory Auditor your main responsibilities will involve:

  • Leading audits to assess the management and control of regulatory risk;
  • Ensuring that all audits meet audit plan time-scales and comply with quality requirements;
  • Managing relationships with key stakeholders across the business,
  • Caching, motivating and developing other team members.

You will have regular dialogue with the Senior Managers in London to discuss improvements to the audit of regulatory risk exposure.

Our client is seeking a strong Regulatory professional for a senior role in the Audit Group.

You will be experienced in FSA Handbook rules, COB, MCOB, ICOB and have direct experience from a compliance function within a bank or have audited the compliance function within a bank. You will have the opportunity to develop knowledge of Compliance risk as well as provide expertise to other internal audit areas whenever there is a requirement. As a Regulatory Auditor your main responsibilities will involve:

  • Leading audits to assess the management and control of regulatory risk;
  • Ensuring that all audits meet audit plan time-scales and comply with quality requirements;
  • Managing relationships with key stakeholders across the business,
  • Caching, motivating and developing other team members.

You will have regular dialogue with the Senior Managers in London to discuss improvements to the audit of regulatory risk exposure.

Our client is seeking a strong Regulatory professional for a Senior Manager role in the Audit Group.

You will be familiar with the FSA Handbook rules for Prudential risk and Financial Conduct Authority (COB, MCOB, ICOB) risk. You will have experience from a compliance function or have audited the compliance function within a large capital markets or corporate / retail banking group. You will have the opportunity to develop knowledge of Compliance risk as well as provide expertise to other internal audit areas whenever there is a requirement. As a Regulatory Auditor your main responsibilities will involve:

  • Leading audits to assess the management and control of regulatory risk;
  • Ensuring that all audits meet audit plan time-scales and comply with quality requirements;
  • Managing relationships with key stakeholders across the business,
  • Caching, motivating and developing other team members.

You will have regular dialogue with the Senior Managers in London to discuss improvements to the audit of regulatory risk exposure.

Salary £80K plus benefits scheme and bonus.

Our client is seeking a strong Regulatory professional for a senior manager role in the Audit Group.

You will be experienced in FSA Handbook rules, COB, MCOB, ICOB and have direct experience from a compliance function within a bank or have audited the compliance function within a bank. You will have the opportunity to develop knowledge of Compliance risk as well as provide expertise to other internal audit areas whenever there is a requirement. As a Regulatory Auditor your main responsibilities will involve:

  • Leading audits to assess the management and control of regulatory risk;
  • Ensuring that all audits meet audit plan time-scales and comply with quality requirements;
  • Managing relationships with key stakeholders across the business,
  • Caching, motivating and developing other team members.

You will have regular dialogue with the Senior Managers in London to discuss improvements to the audit of regulatory risk exposure.

£70,000 – £110,000 per annum, London, Permanent

Job Description

This is a lead role conducting Audit reviews of banking operations from a compliance perspective. This is not a role for a compliance policy expert or deep technical specialist rather for someone with 5-10 years’ experience of Auditing Global Banking Compliance operations experience.

up to £80,000, London, Permanent

This mid. cap. European Banking group with business operations in London.

Reporting to the managing director, you will manage the legal, regulatory and internal
standards and policies risks and controls for the group.

You will also:

  • Compliance – Ensure compliance with the regulatory framework, as well as the integrity
    and ethical conduct of all employees and also that the groups policy and procedures are applied at all
    levels within the organisation.
  • Money Laundering Reporting Officer – To ensure the development, implementation and maintenance of systems and controls which reduce the risk of financial crime and money laundering.
  • Data Protection – Act as the Bank’s Data Protection Officer, ensuring that the Bank is fully
    registered with the data protection registrar and is compliant with the current legislation

£70,000 – £110,000 per annum, London, Permanent

Job Description

This is a lead role advising the Internal Audit and Governance groups on current and new regulatory issues. There will be minimal Audit report writing required. The focus is entirely on educating the current Internal Audit teams on regulatory developments and coordinating regulatory Audit work.

(more…)