Compliance Monitoring and Testing A leading financial institution is seeking a talented Compliance Monitoring & Testing Associate to join its growing compliance function in London. This is a key role within the Central Compliance team, responsible for executing the firm’s annual monitoring plan and delivering assurance over regulatory and internal policy adherence across the business. Key Responsibilities: Lead and conduct end-to-end compliance monitoring reviews, including scoping, fieldwork, issue identification, and reporting. Draft clear, concise, and risk-focused reports for senior management and stakeholders, highlighting findings and recommendations. Work closely with stakeholders across Investment Banking, Wealth Management, and Investment Management to assess control effectiveness and ensure timely remediation of issues. Contribute to the ongoing refinement of the firm’s monitoring methodology, including thematic and risk-based review planning. Stay up to date with relevant regulatory developments (e.g., FCA, PRA, MiFID II) to help shape the compliance monitoring agenda. Candidate Profile: Proven experience delivering end-to-end compliance reviews within a regulated financial institution. Strong report writing skills and the ability to present findings clearly to senior stakeholders. Excellent stakeholder management, with the ability to build relationships across front office and control functions. A background in Investment Banking, Wealth Management, or Investment Management is essential. Knowledge of UK and EU regulatory frameworks and best practices. Please reach out for more details.