VP Compliance Monitoring

As a member of the Compliance Department, you will:Support the Head of Compliance Testing Delivery in delivering the Testing & Monitoring Annual Plans.Deliver risk-based assurance to the firm’s senior management and the Group through independent challenge and good quality reporting.Ensure key testing and monitoring processes are run efficiently to deliver quality and reliable information, to support the business growth and control procedures.Manage, coach and develop the work of CTD team members.Liaise with regulators, auditors and Compliance QA to promote a good understanding of the firm’s controls and governance.In all your activities ensure that the legal entity integrity the EMEA plc (including branches and affiliates where appropriate) is respected, escalating to the senior management as appropriate if you identify any actual or perceived conflicts of interest between them.DUTIES AND RESPONSIBILITIESProvide the following services to the department:Carry out testing and monitoring work with the aim of identifying any attempt by clients of members of staff of the firm to commit financial crime, market abuse, manipulation, or other breach of rules or regulations.Complete the regular and ad-hoc tasks necessary to complete the reviews, monitoring, testing and other work which makes up the department’s risk based testing programme.Carry out quality controls over processes and support the work of the Quality Assurance team which is responsible for checking the Compliance department’s processes and practices to provide senior Compliance management with confidence that necessary tasks are being delivered satisfactorily.Participate in departmental compliance and conduct risk assessment exercises to help direct the work of the department.Role and Responsibilities- TechnicalAct as an SME to lead, manage and own the delivery of technically complex, well-articulated and comprehensive risk-based thematic and desk reviews of the London and EMEA business areas to provide assurance over compliance and conduct risks to key stakeholdersPlay a leading role in the design and delivery of risk based testing.Supervise the work of staff on the team including coaching, supporting and training junior members of the team and direct line management of a small team.Deliver high quality technical analysis of regulatory risks and requirements applicable to specific activities and embed these into the operations of Testing and support senior management in the identification and mitigation of these risks.Assist Testing management in the creation and delivery of the department’s Assurance Plan by identifying key areas of focus for reviewsAssist in the periodic review of relevant procedures, systems and controls to determine whether they are up to date and effective to identify/ facilitate remedial action where necessary.Provide regular MI for periodic Compliance reports to senior management.Act as a Compliance SME and/or support staff participation in Compliance technology or regulatory implementation projects, staff training, procedures and administration tasks as necessary.Demonstrate and share knowledge of UK and EU regulatory developments and provide practical and immediate interpretation of regulations in the context of the firm’s business activities.Participate in departmental compliance and conduct risk assessment exercisesLiaise with stakeholders to address substantive matters arising and escalation and presentation of significant issues to senior management where necessary. Develop strong and lasting relationships via interactions with key stakeholders whether in the front office or in support functions.Track, manage and take ownership of the remediation of compliance & conduct issues by working with relevant business stakeholdersAct as an independent challenge to the front office, escalating any concerns about breaches or law, regulation or internal policies.Support delivery of the wider Compliance Division’s objectives.Take ownership and lead on managing own career, personal and professional development. Identify opportunities and platforms to enhance Compliance, Regulatory and Financial Industry knowledge and experience to continue to improve product and services knowledge across the business which can be reflected in reviews, communications and interactions with stakeholders.

Created: 2025-07-24