Latest Vacancies in Compliance Audit



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.

 

 

 

Are you a market risk professional who is looking to leverage your skills and knowledge in a different discipline with varied exposure? or perhaps you already possess a combination of both market risk and Audit experience looking for a new challenge in a top tier investment bank with long term career growth opportunity?

My client, a global investment bank with an enviable reputation are looking for a Market Risk Auditor who is technically astute, intelligent and personable to join their specialist market risk audit team. This role would suit individuals who are well versed in market risk process and have an appreciation for risks and process controls looking for more variety and challenges. Equally, it would suit an auditor who has a good working knowledge of market risk, understanding of investment banking products looking to strengthen their technical skills, conduct deep dive assessment and an opportunity to add real value to a business.

Due to the size and stature of the organisation, there is certainly plenty of opportunity for internal mobility, upward progression and continuous learning and development, you will also be supported by your peers and senior management who have a wealth of knowledge and expertise within market risk audit, many of whom have come from a traditional market risk background.

Responsibilities:

  •  Contributing to the Market Risk Audit team’s enterprise-wide coverage and play a key part in the team’s development of audit process improvement
  • Conducting audits from planning through to completion
  • Responsible for delivering audit reviews of global markets’ portfolios focusing on market risk & valuation
  • Providing subject matter expertise to the wider audit group
  • Participating in mainstream audit work, acting as subject matter expert for risk, valuation, derivatives
  • Continuous monitoring of the risk environment and assesses the emerging risks in global markets portfolios; Value at Risk estimates, Stress testing results at many different levels of granularity for positions and portfolios in global markets.
  • Recommending appropriate and practical solutions to risk and control issues.
  • Coaching junior members in all aspects of the audit process
  • Stakeholder relationship; engaging professional in trading and risk management in frequent dialogue regarding portfolios, markets, positions, liquidity, funding, pricing, valuation
  • Working as part of a team within Audit and other business areas
  • Ability to prioritise tasks and manage time effectively

Key Requirements:

  • Degree (minimum BSc/ BA level) with good academic record
  • Experience of ICAAP, Reg Stress Testing, Market Risk or Market Risk Reporting
  • Ideally audit related qualification for those from an audit background
  • Internal audit experience is desirable but would also consider market risk specialists who can demonstrate they have the capability to diversify into audit/ have an appreciation for risk and process controls
  • Those from a traditional audit background, must possess good working knowledge of market risk
  • Working knowledge of investment banking and associated products
  • Ability to prioritise tasks and manage time effectively
  • Strong interpersonal skills, able to manage relationships both within the core team, other business areas and stakeholders at all levels of seniority
  • Strong communication skills (written and verbal), especially the ability to write reports
  • Capable of undertaking new challenges and tasks even in unfamiliar territories and able to learn new things quickly
  • Eager for continuous learning and development

For further details or to refer individuals in your network please get in touch for a confidential discussion. Or to apply, please send your CV to [email protected] / 0203 397 1779

If you have experience from the Big 4 and / or are in an Internal Audit, Risk or Controls role focusing on Ops Risk or Financial Reporting (ICAAP)  and have an interest in developing your professional experience within Global Banking, we have a rare opportunity for you….. We are seeking experienced Internal Audit or Assurance professionals with wholesale Banking Ops Risk and / or Financial Reporting knowledge for a leading Global Bank. You must have excellent academics and an accountancy qualification (or equivalent) as well as a UK / EU visa.
You will be rewarded with a supportive environment working alongside industry leaders, plus excellent bonus and benefits. Apply or call today to be considered.
If you are career focused with a sharp mind and an interest in developing your professional experience within Global Banking we have a rare opportunity.  We are seeking experienced Internal Audit or Assurance professionals with wholesale Banking Credit Risk knowledge. You must have excellent academics and an accountancy qualification (or equivalent) as well as a UK / EU visa.
You will be rewarded with a supportive environment working alongside industry leaders, plus excellent bonus and benefits. Apply or call today to be considered.

Head of Audit for Risk, Wholesale Bank, London

Team of 4 VP’s & Dir’s plus junior staff.

Our client, a Global Wholesale Banking group are seeking to recruit a Risk Management Professional with experience in Internal Audit to Lead the EMEA Risk (Market, Credit, Models, liquidity risk, Stress Testing & Ops) Audit Division.

The Role

  • Define and plan the scope of audit work required
  • Plan and execute audits for risk management, including operational risk, market risk, liquidity risk, models risk, credit risk, and stress
  • Continuous monitoring of the ongoing audit process through all key stages
  • Working with both the local and global audit teams to establish full audit coverage and the scope of work required
  • Responsible for the management and mentoring of the Risk Audit team
  • Reporting to both the Global Head and Regional Head and carrying out special projects and ad hoc work as required

Requirements

  • Experience working at a high level in a risk audit environment of a similar organisation
  • Comfortable dealing with and reporting to Committee / Boards and Regulators
  • Excellent understanding of current legislation, regulations and best practice, including, Basel III, Dodd Frank, SA-CCR, CRD IV and FRTB.
  • Knowledge of liquidity risk management, model risk, credit risk and market risk, with a specialisation in one area being preferable
  • Appropriately educated to degree standard, with professional risk management qualifications preferred.

To be considered for the role please forward your CV to Craig Phipps.

You must have the relevant UK / EU visa to apply.

Quantitative Finance consulting role with leading Advisory firm. 3-6 months contract with possible extension. Excellent rate.

You must have Banking and c++ or SAS experience from a Quant, Model Validation, Pricing or Model Risk role as well as the relevant visa for the UK.

 

I am looking for a subject matter expert with an algorithmic development background for an advisory post reviewing algorithms across a global banks Algo Trading businesses.

This is a global role (although limited travel) where you will be required to provide advice to senior management and represent the group when talking to global regulators in relation to algorithmic trading.

Are you a models or quant professional who is looking to leverage your skills and knowledge in a different discipline with varied exposure? Or perhaps you are looking for a new challenge in a top tier investment bank with long term career growth opportunity?

If you are well versed in Quant / Models practices and have a concept of retail or investment banking products, this role offers a different opportunity than a standard senior level models or quant role.

If you enjoy conducting deep dive assessment and seek to enhance your enterprise wide work with key executive stakeholder interaction, this role will add real personal value whilst also enabling you to develop your technical skills with market leading models across a wide variety of banking business lines.

Due to the size and stature of the organisation, there are plenty of opportunities for internal mobility, upward progression and continuous learning and development, you will also be supported by your peers and senior management who have a wealth of knowledge and expertise within the quant discipline, from a wide variety of backgrounds

Responsibilities:

  • Contributing to enterprise-wide coverage and play a key part in the team’s development of process improvement
  • Conducting assessments from planning through to completion, acting as subject matter expert
  • Responsible for delivering reviews of global markets’ portfolios focusing on the use of quant finance and models
  • Providing support and guidance to more junior team members
  • Stakeholder relationship; engaging professional in modelling and quant finance in frequent dialogue regarding their work

Key Requirements:

  • Degree (minimum BSc/ BA level) with good academic record
  • Demonstrate a capability to diversify and have an appreciation for process risk and controls
  • Knowledge of investment banking and associated products
  • Ability to prioritise tasks and manage time effectively
  • Strong interpersonal skills, able to manage relationships both within the core team, other business areas and stakeholders at all levels of seniority
  • Strong communication skills (written and verbal), especially report writing
  • Capable of undertaking new challenges and tasks even in unfamiliar territories and able to learn quickly
  • Eager for continuous learning and development.

IF YOU ARE LOOKING TO:

  • USE YOUR SUBJECT MATTER EXPERTISE;
  • GAIN CROSS ASSET CLASS EXPERIENCE
  • ADD VALUE TO YOUR CAREER FOR FUTURE LEADERSHIP ROLES

To apply CONTACT Howell Evans [email protected]

 

For further details or to refer individuals in your network please get in touch for a confidential discussion.

Leading European Bank seeking models / quant professional from a wholesale credit risk, traded risk or pricing model val or developer background.

This is an excellent opportunity for a Quant practitioner with models experience in the above areas to gain wider group level exposure and broaden their career options. Qualified Accountants or Internal Auditors with a background in Quant /Models / Modelling within a Wholesale Credit Risk

Are you a market risk professional who is looking to leverage your skills and knowledge in a different discipline with varied exposure? Or perhaps you already possess a combination of both market risk and Audit experience looking for a new challenge in a top tier investment bank with long term career growth opportunity?

Our client, a global investment bank with an enviable reputation are looking for a Market Risk Auditor who is technically astute, intelligent and personable to join their specialist market risk audit team. This role would suit individuals who are well versed in market risk process and have an appreciation for risks and process controls looking for more variety and challenges. Equally, it would suit an auditor who has a good working knowledge of market risk, understanding of investment banking products looking to strengthen their technical skills, conduct deep dive assessment and an opportunity to add real value to a business.

Due to the size and stature of the organisation, there is certainly plenty of opportunity for internal mobility, upward progression and continuous learning and development, you will also be supported by your peers and senior management who have a wealth of knowledge and expertise within market risk audit, many of whom have come from a traditional market risk background.

Responsibilities:

  • Contributing to the Market Risk Audit team’s enterprise-wide coverage and play a key part in the team’s development of audit process improvement
  • Conducting audits from planning through to completion, acting as subject matter expert for risk, valuation, derivatives
  • Responsible for delivering audit reviews of global markets’ portfolios focusing on market risk & valuations
  • Providing Market Risk subject matter expertise to the wider audit group
  • Continuous monitoring of the risk environment and assesses the emerging risks in global markets portfolios; Value at Risk estimates, Stress testing results at many different levels of granularity for positions and portfolios in global markets.
  • Coaching junior members in all aspects of the audit process
  • Stakeholder relationship; engaging professional in trading and risk management in frequent dialogue regarding portfolios, markets, positions, liquidity, funding, pricing, valuation

Key Requirements:

  • Degree (minimum BSc/ BA level) with good academic record
  • Ideally audit related qualification for those from an audit background
  • Internal audit experience is desirable BUT NOT ESSENTIAL we are keen to attract MARKET RISK SPECIALISTS who can demonstrate they have the capability to diversify into audit/ have an appreciation for process risk and controls
  • Those from a traditional audit background, must possess good working knowledge of market risk
  • Indepth knowledge of investment banking and associated products
  • Ability to prioritise tasks and manage time effectively
  • Strong interpersonal skills, able to manage relationships both within the core team, other business areas and stakeholders at all levels of seniority
  • Strong communication skills (written and verbal), especially report writing
  • Capable of undertaking new challenges and tasks even in unfamiliar territories and able to learn quickly
  • Eager for continuous learning and development

IF YOU ARE LOOKING TO:

  • USE YOUR MARKET RISK SUBJECT MATTER EXPERTISE;
  • GAIN CROSS ASSET CLASS EXPERIENCE
  • ADD VALUE TO YOUR CAREER FOR FUTURE LEADERSHIP ROLES
  • PLEASE CONTACT CRAIG PHIPPS AT [email protected] or call on 077955 18881

    For further details or to refer individuals in your network please get in touch for a confidential discussion. Or to apply, please send your CV to [email protected] / 020 7099 7180