Our client is a leading global investment banking, securities, wealth management and investment management firm.

This is an excellent opportunity for you to create and execute detailed testing work programs to assess compliance with regulations and firm policies. This is an exciting opportunity for an individual to lead the London arm of an international team located in New York, London, Tokyo, Bangalore and Hong Kong. This role will work closely with compliance and business management, and gain an excellent understanding of both the firm’s businesses and the rules and regulations under which the firm operates.

Your responsibilities:

Leading a team of four individuals conducting tests covering the Securities Division, Investment Banking, Merchant Banking, Private Wealth Management, Research, and Asset Management. The individual will report through to the Global Head based in New York and the Head of Compliance EMEA.

The individual should:

• Lead and motivate a team of four compliance testing professionals
• Design the testing plan for the year through discussion with compliance and business management
• Design work programs and then execute test steps within assigned budgets, and meet tight deadlines to evaluate compliance with rules and regulations.
• Multi-task – have the ability to work on several different projects with different individuals at the same time
• Document work performed, findings, conclusions and corrective actions required in organized workpapers
• Communicate with business management on findings and obtaining consensus on corrective actions required
• Team with colleagues around the globe, to share findings and refine processes
  
• Your background:
• 3 or more years of management experience
• 5 or more years of auditing experience or other investigative work in the financial services industry (Recognized audit certification such as ACA, CIA, CISA, or CPA preferred)
• Excellent interview, presentation and written communication skills
• Excellent time management, analytical and communication skills
• Integrity, motivation, intellectual curiosity and enthusiasm
• Excellent knowledge of Microsoft Word and Excel is a must and knowledge of Access and PowerPoint is useful

All applications will be treated in the strictest confidence.