Compliance Monitoring & Testing Officer # 106400

We Offer
  • A varied role in UK Private Bank Compliance Monitoring & Testing team with the primary responsibility in conducting monitoring and thematic reviews thus helping the firm to manage it's conduct risk
  • Planning, scoping and executing thematic and monitoring reviews in line with CS standards
  • Preparing M&T review reports for key stakeholders to specified standards, including format and style
  • Defining and proposing recommendations as a result of M&T reviews, agreeing corrective actions as well as monitoring and validating their completion
  • Carrying out data gathering and preparation of annual Compliance Risk Assessment for IWM UK Business, analysis the results and reporting the outcome
  • Contributing to the development of the Annual Compliance Plan
  • Preparing executive level governance reports on behalf of IWM Compliance
  • Supporting a variety of ad hoc projects and initiatives within wider IWM UK Compliance team


Open to discussing flexible/agile working.

You Offer
  • It is essential you have experience of working in a Compliance department in a UK regulated Private Banking/Wealth Management firm with monitoring and/or internal audit experience
  • Working knowledge and understanding of FCA and EU regulatory developments as applicable to private banking/ wealth management activities
  • Networking skills and the ability to build effective working relationships with a range of stakeholders
  • Deep understanding of compliance monitoring/testing methodology
  • Excellent written and oral communication skills and ability to deal with Senior management
  • Ability to work independently and manage conflicting priorities

*LI-CSJOB*