A leading international banking group is looking for a Compliance Monitoring & Testing professional to join its second line of defence. This role offers exposure across the firm’s core business areas, including investment banking, asset management, and wealth management, and plays a key part in assessing regulatory compliance and conduct risk.
The Role
You will be responsible for designing, planning, and executing risk-based compliance monitoring reviews across the firm’s regulated activities. These may be desk-based or thematic in nature and will involve testing adherence to internal policies and external regulatory requirements (e.g., FCA, PRA, MiFID II).
Your work will include preparing scoping documents, fieldwork, issue identification, drafting of detailed reports, and tracking of remediation plans. You'll work collaboratively with business lines, advisory compliance, legal, and internal audit to ensure findings are accurate, proportionate, and well understood by stakeholders.
Key Responsibilities
Deliver end-to-end compliance reviews in line with the annual monitoring plan
Draft clear, concise reports and present findings to senior management
Identify areas of regulatory and conduct risk, propose practical recommendations
Support the development and continuous improvement of the monitoring framework
Maintain up-to-date knowledge of UK and EU regulatory expectations
What We’re Looking For
Proven experience conducting compliance monitoring or testing reviews
Strong understanding of financial services regulation (e.g., FCA Handbook, MiFID II)
Experience with either thematic or desk-based reviews is essential
Excellent communication, report-writing, and stakeholder management skills
Exposure to investment banking, asset management, or wealth management is a plus