Job Description
Investment Management arm of a large and prestigious global wholesale financial institution seeks a senior analyst to join its 2nd line global monitoring & testing team. Reporting to the team manager, the successful candidate will plan regulatory compliance testing assignments, pre-scope in collaboration with key stakeholders and document outputs to ensure a clear audit trail. Furthermore, the incumbent will represent the team at governance committees/forums and deputise when required in the manager's absence. Candidates are sought with a compliance background from within the asset & wealth management sector, with skills developed in thematic reviews, monitoring & testing and/or 3rd line internal audit of regulatory compliance themes such as conflicts of interest, best execution and market abuse. The client is also interested in those currently in an investment control or surveillance function of an asset manager, wishing to transition to 2nd line compliance testing.
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