VP Compliance Auditor - Tier 1 Investment Bank

Location London
Discipline: Internal Audit
Contact name: Max Fillingham

Contact email: max.fillingham@greshamhunt.com
Job ref: 1576

Gresham Hunt have partnered with a Tier 1 Investment Bank in their search for a VP Compliance Auditor to join their team and demonstrate a sound understanding of Compliance & Conduct matters within an Investment Bank.

Our client is open to Compliance & Conduct Risk Auditors as well as Compliance SME's looking for their first move into audit. To see if you meet the requirements for this position & understand the responsibilities further, please see below:

  • 8 - 15 years' of working experience within a Compliance Audit or Compliance Testing field at a Leading Banking Group
  • Strong understanding of regulations that affect a banking group within Trade Surveillance, MiFID, Personal & Private Dealings/Insider trading etc...
  • Excellent interpersonal skills with strong stakeholder management expertise.
  • Leadership qualities are required as within this role you will be a team contributor that will guide and mentor the juniors around you.
  • Demonstrable experience identifying & mitigating risks associated with banking groups.
  • Responsibilities:
  • Supporting the Internal Audit Director with the Group Internal Audit Plan across Compliance & various other functions as & when required, acting as an SME at times.
  • Regularly assist & mentor individuals in the team & gradually grow into a Senior Leadership position.
  • Develop a strong understanding of the key risks & controls associated within Compliance & Conduct Risk that could affect the business (as stated above).
  • Adhering to the audit plan and following through with the audit methodology while also providing well thought out ways on how to streamline processes.
  • Understand the specialist areas within the Markets team from a global aspect with regards to business areas, products & associated risks.
To learn more about this opportunity, please either apply here or reach out via email: max.fillingham@greshamhunt.com