Compliance Advisory, Monitoring, Controls, Conduct and Training role with well established SME Bank.

You must have experience within a regulatory control or compliance environment from a banking firm.

The successful candidate will:

• Produce reports highlighting areas of improvement as per the compliance monitoring plan
• Recommend improvements to Senior Management, XO’s and staff as well as manage project delivery of new regulatory requirements (MIFID 2, Senior Managers Regime etc.)
• Review operating procedures, manuals and processes, as well as management information
• Monitor the performance and make recommendations to the Legal & Head of Compliance
• Provide training to all bank staff and help identify compliance training needs
• Develop strong relationships with all staff members
• Provide appropriate advice on compliance issues
• Help plan all compliance work with the Head of Compliance and Head of Legal
• Prepare and manage non-financial returns
• Liaise with Regulators and other 3rd parties

Our client is a leading global brokerage company working mainly for financial and real estate clients. Their products include foreign exchange, equities, equity derivatives, and credit derivatives amongst others.

They are looking for an Audit Manager to join their Internal Audit Group in the London Office. With 3-4 years audit experience, the ideal candidate will be be comfortable with leading various technical and general controls audits. SOX experience would be very useful. Candidates with relevant Big 4, or similar Practice candidates are welcomed, although ideally some experience in industry will also have been gained.

This role offers the opportunity for involvement in global audits, and will give the successful applicant exposure to CEOs, CFOs, and CISOs, with the potential to become involved in presenting to audit committee’s and boards.

Due to the global nature of the business, there will be an element of travel, usually to the USA office.

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.

Our client, a leading European investment bank with a global presence is seeking an auditor or audit manager for their banking and investments business to cover compliance, legal,  finance, leasing and HR audits.  This role would suit someone with an exclusive background in either:

1) Financial Services audit

2) A big four group in risk advisory or statutory audit working on banking or investment clients with an operational knowledge of Financial Services compliance and regulations. The successful candidate will undertake reviews across the corporate, wholesale, investment banking, trade finance and asset / wealth management functions.   You must have excellent communication and team working skills.

Travel within the UK will be c20%.

Essential:
Strong relationship and communication skills.
Audit qualification
Thorough knowledge of banking / asset management and or  leasing
Compliance experience
Desirable:
Compliance qualification

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

This post would suit someone with a background covering a broad range of audit experience within wealth management. As part of the routine duties the role will involve evaluating business divisions to ensure compliance and financial targets are met and strategic and operational objectives.

The role is based within an independent team reporting directly to the Risk Committee and Chairman of the Board. With an exemplary track record in reporting, planning and performing audits, you will leverage these skills across the Wealth Management businesses covering both the UK and Jersey.

Responsibilities

– Assessing and analysing key risks, including: compliance, know-your-client, legal, money-laundering, operational and suitability. Evaluating the effectiveness of the controls addressing the key risks.

– Providing solutions to issues identified that are innovative and practical. Preparing clear reports on findings for senior management at local, functional, group and global levels.

– Monitoring developments within risk profiles

– Providing input for planning sessions.

Skills

– A background in audit with thorough knowledge of regulatory requirements and expectations.

– Sound knowledge of key risks in wealth management; their controls and how best to manage them.

– A fluent English speaker, you will have excellent communication skills and experience in presenting to senior management, providing recommendations and opinions. You will work well in a team in addition to having experience leading audits for specific tasks.

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.