Compliance Auditor (Regulatory / Legal) - AVP

Job type:
Real Staffing
City of London
flag_no United Kingdom
project ID:

This project is archived and not active any more.
You will find vacant projects in our project database.
Our client is in search of an AVP Compliance Audit professional based in London. The successful applicant will be accountable for assessing the adequacy and effectiveness of controls designed to ensure the CIB businesses comply with relevant key regulatory requirements. The parameters of the role involve monitoring adherence to regulatory change, helping ensure appropriate audit coverage of regulatory compliance within CIB business audits, leading the planning and execution of CIB Compliance related audits, and maintaining relationships with and providing control related advice to business stakeholders.


As a member of CIB Compliance Audit Team you will be responsible to:
* Lead audit engagements as outlined above covering the CIB businesses including risk assessment, audit planning, audit testing, control evaluations, report drafting and follow up and verification of issue closure. Ensure audits are completed timely and within budget.
* Establish strong working relationships with CIB Compliance management
* Work closely with regional/global CIB audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders.
* Coach and develop team members.
* Develop recommendations to strengthen internal controls and improve operational efficiency.
* Stay up-to-date with evolving regulatory changes and market events impacting the business


* A strong, comprehensive understanding of key regulations and current regulatory developments relevant to CIB (FSA, AML etc.) and key Compliance priorities (including oversight of Anti-Money Laundering, Client Asset controls, Client Money, Regulatory reporting, Control Room Review, managing MNPI- material non-public information, etc.)
* Minimum 8 years of audit or relevant business experience
* Self motivated audit professional who effectively analyses risk and proactively identifies issues.
* Minimum bachelors degree; advanced degree and/or certification (JD, MBA, CAMS etc) preferred
* Audit experience or technical ability a plus.
* Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness

The applicant must be an experienced professional who possesses strong auditing skills, a good knowledge of the key regulations and current regulatory developments relevant to CIB in EMEA. This individual should be a strong team player able to multi-task and work under pressure. If Interested, please send an updated version of your for consideration.

To find out more about Real, please visit us on