Compliance Monitoring Regulatory Review

COMPLIANCE MONITORING REGULATORY REVIEW

My client is a World recognised Banking and Financial Services organisation. My client is split into four main areas and they are Investment Banking, Commercial Banking, Wealth Management and Retail Banking.

My client is hiring for two different positions. Both are Monitoring Manager positions and one sits within the Asset Management arm and the other within Investment banking.

The responsibilities for both positions are similar.

They will involve:

- Gain a comprehensive understanding of the current risk and control environment, through desktop reviews, interviews and process walkthroughs
- Use a co-ordinated, consistent and effective approach to risk monitoring and quality assurance testing through the effective use of the appropriate monitoring tools to identify areas of risk.
- Undertake planned and ad hoc assurance reviews of activities within the division, including periodic reviews of products & services, policies & procedures, activities of business units & Conduct Risk teams, to ensure compliance with Group standards

Experience needed:

- Previous monitoring experience gained from either internal or external audit and/or monitoring undertaken in a Compliance function.
- Strong regulatory compliance knowledge.
- Good understanding of risk and control frameworks
- Ability to understand risks, issues and impacts and manage these.
- Good understanding of conduct risk management disciplines in Financial Services.
- Investment banking or Asset Management background.

Only suitable candidates will be contacted

McGregor Boyall is an equal opportunity employer and do not discriminate based on race, religion, gender, age, sexuality, gender identification, or physical ability.