Our client is a well known Investment Bank who are looking for someone to manage the Compliance reviews and Testing team on a daily basis.
The VP Compliance Manager is an integral part of the firms UK Compliance department. This individual will be
responsible for core activities including Monitoring Testing, Regulatory filings, participating in local and global initiatives and other
core compliance tasks as needed.
Responsibilities include, but are not limited to:
Participate in the compliance risk assessment exercise.
Assist with developing the annual monitoring and testing plan;
Determine scope of reviews; build detailed review steps; organize documentary evidence of review;
Execute tests and write summary report to document exceptions and action plans;
Communicate deficiencies to the business.
Oversee remediation of gaps identified in the testing process;
Assist on ad-hoc Compliance projects and initiatives;
Build relationships with key stakeholders locally and globally.