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Compliance Monitoring and Testing Officer

  • Location: London
  • Salary: Up to £400.00 per day per day
  • Job Type:Contract

Posted 4 days ago

  • Sector: Financial Services
  • Contact: James Batters
  • Duration: 6 months
  • Expiry Date: 08 May 2021
  • Job Ref: JN -042021-458381

Monitoring / Assurance and Compliance Testing Officer:

A large, International Investment bank are searching for a Compliance Monitoring & Testing Officer to join them on a 6 month initial contract.


You will need a strong track record of working in Monitoring and Testing roles at other similarly large/international Investment banks in order to be considered.


You will be responsible for the following:

  • Enacting M&T across a number of core areas such as Financial Promotions, Social Media, SMCR, Conflicts of Interest, Personal Account Dealing, Conduct Rules and Complaints.
  • Working on and helping to develop the Compliance Monitoring Plan.
  • Helping to draft or update policies & procedures.
  • Maintaining your own up to date knowledge on relevant regulation/legislation, and using this to guide/advise the business where appropriate.


To be suitable, you should have covered most or all of the above bullet points in your current or most recent role, as well as over the last few years of your career at least.

The client will not consider candidates from a Transaction Monitoring, surveillance or financial crime roles.

If you believe you are suited to the above position, and would like to find out more please don't hesitate to click apply.

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