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AVP - Reviewer, Compliance Assurance & Testing

Goodman Masson
London, United Kingdom
GBP55000 - GBP70000 per annum
Closing date
Mar 7, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
You will be expected to contribute to the overall compliance assurance and testing framework by:
  • Conducting risk-based thematic and desk reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholders
  • Scoping reviews and developing test programmes Tracking, managing and taking ownership of the remediation of compliance issues by working with relevant business stakeholders
  • Regularly meeting with and engaging with key business stakeholders in order to identify key risk areas
  • Contributing to the quarterly and annual risk assessments
  • Providing support to both the Bank and Securities Head Offices
  • Working in collaboration with the First Line to support their assurance programme
  • Providing regular MI for management and Head Office
  • Performing ad-hoc investigations where required Performing electronic and audio communications monitoring to identify and investigate compliance and/or conduct breaches by staff where required
  • Contributing to CA&T projects as directed Assisting in the creation and delivery of the department's Assurance Plan by identifying key areas of focus for reviews,
  • Identifying compliance and conduct risk topics and communicating to the team, division and senior management on any industry updates.
  • Actively participating in current CA&T projects such as data analytics, compliance framework

Desired skills include:
  • Excellent Microsoft Office (including Excel) skills
  • Strong relationship management skills, including with senior stakeholders Effective time management skills, with the ability to produce high quality output and meet tight deadlines
  • Problem solving, analysis and reporting skills Ability to exercise sound judgement, balance risk and practicality to determine appropriate actions/ solutions
  • Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing to articulate how an identified issue increases risk for the firm
  • Good understanding of Investment Banking and Markets risks and regulations
  • Ability to scope reviews, create test scripts and review the work of others
  • Strong compliance testing experience required
  • Broad understanding of the FCA Handbooks, Regulatory approaches & OFAC Standards

If interested, please apply below. Alternatively, please email your CV to

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

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