Vice President -Compliance Testing - Investment Bank

London, United Kingdom
£80k - £120k
Jun 14, 2023
Jun 19, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
  • Develop and implement a comprehensive compliance controls testing strategy to evaluate the effectiveness of the organization's internal controls.
  • Supervise and coordinate work delegated to the team, providing guidance, support, and coaching to ensure high-quality testing procedures.
  • Conduct risk assessments and gap analysis to identify areas of potential non-compliance and recommend corrective actions.
  • Collaborate with cross-functional teams, including Legal, Risk Management, Internal Audit, and other stakeholders to align compliance controls testing efforts with broader organizational goals.
  • Stay updated with evolving regulatory requirements and industry best practices to ensure the testing program remains current and effective.
  • Prepare and present reports on compliance controls testing results to senior management and regulatory authorities as required.
  • Drive continuous improvement initiatives by identifying opportunities to enhance efficiency, effectiveness, and automation within the compliance controls testing process.
  • Foster a culture of compliance awareness and accountability throughout the organization through training programs, communication, and regular interaction with business units.

  • Extensive experience (8+ years) in compliance controls testing, internal audit, or related roles within the financial services industry.
  • Strong knowledge of applicable laws, regulations, and industry standards (e.g., FCA, EU) and their impact on compliance controls testing.
  • Proven track record of successfully developing and implementing compliance controls testing programs.
  • Excellent leadership skills with the ability to inspire and motivate a team to achieve exceptional results.
  • Exceptional analytical and problem-solving abilities with keen attention to detail.
  • Excellent written and verbal communication skills, including the ability to present complex information in a clear and concise manner.
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