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Head of Monitoring and Control (Job Ref:15304)

Investment Banking , Broker/Commodities , Stockbroker , Private Bank | Monitoring | Permanent | Up to 100,000 pa | City - London

THE COMPANY:

Our client is a global corporate and investment bank based in the city

 

THE RESPONSIBILITIES:

  • Performance of a system of permanent controls designed to identify and monitor any non-compliance risks.
  • Updating the permanent controls in line with changes in the regulatory environment and market practice
  • Performance of thematic reviews of specific businesses
  • Follow-up of findings from thematic reviews and permanent controls to ensure timely resolution
  • Liaison with business line and function heads to ensure comprehensive adherence to the monitoring plan
  • Assist London Compliance department in its general duties as required from time to time.
  • Reporting on permanent control findings and corrective measures.
  • Responsible for the control documentation
  • Uploads to global reporting system of control results
  • To comply with the FCA rules and guidelines at all times
  • To comply with the FCA Conduct Rules

 

EXPERIENCE REQUIRED

  • Relevant experience in a similar role in monitoring and testing environment
  • Experience in an investment banking environment or similar
  • Problem solving ability
  • Personable, with strong stakeholder management experience
  • Ability to plan, prioritise, organise and carry on work independently.
  • Good written skills and report writing.
  • High knowledge of UK regulatory and accounting requirements that affect an international investment bank.
  • Experience in supervising or managing people

 

For further information please contact Natalie Eshelby 

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