Compliance Testing

Permanent | £90-115,000 | London | | Posted by Alex Hardy | 08.07.16

This is an excellent opportunity for an experienced compliance monitoring or audit professional seeking the opportunity to join the established testing function of a top tier Investment Manager.

Your responsibilities will include:

  • Conducting tests covering full regulatory compliance across EMEA functions.
  • Interacting with compliance testing colleagues in all areas of the business as well as senior management.
  • Conduct research, data gathering, analysis and prepare reports.
  • Document work performed findings, conclusions and corrective actions required in organized work papers.
  • Communicate with business management on findings and obtaining consensus on corrective actions required.

As a successful applicant you will possess:

  • Proven background working in compliance testing within financial services would be preferable.
  • Experience in Internal Audit within Asset management
  • Strong knowledge of FCA regulation applicable to asset servicing;
  • Ability to deal with the business – strong interpersonal and communication skills;
  • Background or good knowledge of compliance rules and regulations.

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