Compliance Testing Officer

Location London
Contact name: John Bute

Contact email:
Job ref: 1589

Compliance Testing Officer

Wholesale Banking

London – Up to £105,000 + package

Gresham Hunt is working with an leading European investment bank to fill the role of Compliance Testing Officer for their UK Wholesale Banking Compliance Testing department.
This is an exciting opportunity to be responsible for assessing the design and effectiveness of key compliance controls to mitigate against business compliance risks.
The duties of the role include:
  • Planning, executing, and conducting compliance testing reviews in line with UK and global regulatory demands
  • Analysing and documenting results of reviews, and conducting initial discussions with control and process owners
  • Helping to develop Annual Compliance Testing Plans and Quarterly Summaries, and developing current Compliance Testing Methods and Standards
  • Making use of innovative approaches to Compliance Testing, including Data Analytics
  • Building relationships within both the Compliance Testing Department and other stakeholders, including control/process owners, Compliance Advisory and Internal Audit
  • Discerning best industry practice and sharing insights on a regular basis, and identifying and informing management of significant compliance points of issue for their attention
The successful candidate will have:
  • At least 5 years’ experience in Compliance Testing teams, internal and/or external audit, or similar function within financial services
  • Extensive experience planning and compliance testing programs, utilising surveillance and transaction systems, and ensuring effectiveness of control functions
  • Strong ability to work both independently and collaboratively with people at all levels of the business
  • Demonstrable advanced analytical skills
  • Intermediate understanding of rules, regulations, policies and procedures within a Wholesale banking context
While not essential, it is preferable that candidates are ACCA or ACA qualified.
Candidates must be based in the UK with full right to work. Unfortunately visa sponsorship is not available at this time.
For more information, please forward your CV to: