Senior Compliance Monitoring & Advisory - Group - £70-85k Senior Compliance Monitoring & Advisory - Group -  …

Charles Levick
in London, England, United Kingdom
Permanent, Full time
Last application, 20 Aug 19
Negotiable
Charles Levick
in London, England, United Kingdom
Permanent, Full time
Last application, 20 Aug 19
Negotiable
Charles Levick
We are partnered with a global banking group who have an opportunity for a Senior Compliance Monitoring & Advisory to join their Central Services Compliance team based in London. This is an exciting opportunity to join a stable but dynamic team as an integral member. There is scope to advise senior stakeholders and establish strong working relationships with multiple business lines. Based in the City.

We are partnered with a global banking group who have an opportunity for a Senior Compliance Monitoring & Advisory to join their Central Services Compliance team based in London. This is an exciting opportunity to join a stable but dynamic team as an integral member. There is scope to advise senior stakeholders and establish strong working relationships with multiple business lines. Based in the City.

Key Responsibilities:

  • Responsible for the monitoring programme for multiple business lines and regulatory investigations.
  • Develop the annual monitoring and reviews plan.
  • Conduct desk based and thematic reviews in accordance with the plan, including scoping, testing and report drafting.
  • Assist with the annual update of the Compliance Risk Assessments.
  • Operational Risk Assessments.
  • Scoping and drafting tests and reports.
  • Track and validate the remediation of the issues identified during the reviews.
  • Conduct investigations, including electronic surveillance.
  • Assist in integration of the monitoring results with the wider risk framework.
  • Assist with the Compliance Risk Assessments harmonisation across business lines.
  • Participate in other change programmes, including integration of new systems and technology to enhance and further develop existing compliance processes.

Experience and Qualifications:

  • Appropriate experience gained in monitoring and reviews within a compliance function of a financial services institution.
  • Understanding of Private Debt Funds and Investment Banking, knowledge of the relevant regulatory environment and applicability to the business.
  • Understanding of private equity / private debt funds is desirable but not essential.
Company Overview

Charles Levick Limited are a leading global financial recruiter providing innovative solutions across Capital Markets, Financial and Professional Services organisations. Founded in 2008, Charles Levick is privately owned and operates from offices based within the City of London and New York.

A truly independent company with a global reach, we pride ourselves on delivering honest and intelligent guidance developing long term sustainable relationships. Our breadth of expertise and services allow us to deliver solutions across our sectors ranging from junior analyst through to C-Suite requisitions, all delivered with exceptional levels of attention to detail and service that have helped us to grow into the organisation we are today.

We have managed to build an enviable reputation partnering a diverse range of large and small organisations initially within London, but now globally, actively supporting clients across Europe, Asia and the US. With decades of experience, we have been able to develop a substantial knowledge of our markets as well as building loyal relationships with our clients and candidates.

Our business is devised of 5 core areas of specialisation:

  • Operations/Infrastructure
  • Compliance
  • Risk & Actuarial
  • Change, Transformation & Technology
  • Fintech
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