Compliance Testing Manager

National Bank of Canada Capital Markets - London, UK; Greater London; Sur place; GBP 90 000 - 130 000; Plein temps

Avantages offerts par ce poste

Competitive benefits

Dynamic work environment

Diversity and inclusion

Résumé du poste

NBCCM in London is seeking a Compliance Testing Manager to lead independent testing activities, delivering the annual Test Plan for London and reporting results to senior management.

The role requires senior experience in Compliance Testing or Internal Audit, and qualifications such as CIA, CISA, or CPA; strong data analysis and people skills are essential; reporting lines include the London Head of Compliance and the COO.

Qualifications

• Preferably holds CIA, CISA, or CPA qualification (or equivalent).
• Senior‑level experience in Compliance Testing, Internal Audit, or related second‑line assurance function within financial services.

Responsabilités

• Creates the annual Test Plan for London.
• Owns, designs, and executes the London Compliance Testing Plan.
• Independently issues Compliance Testing reports, thematic insights, and related assurance outputs.
• Escalates material findings, themes, emerging risks through MI to London Governance forums.
• Maintains effective issue tracking, validation, and follow-up per Testing Standards and Issue management processes.
• Ensures Testing activities remain independent of first‑line management and do not influence operational decisions.
• Interacts regularly with senior management during testing activities.
• Reports to the London Head of Compliance and the COO; dotted-line to Head of Compliance Testing for alignment.

Connaissances

Excel

Data analysis

People skills

Formation

CIA, CISA, or CPA

Description du poste

NBCCM is an indirect wholly owned subsidiary of National Bank of Canada ("NBC"). The main strategic purpose of NBCCM is to enable the NBC Group ("NBC Group," meaning National Bank of Canada and all its subsidiaries) to grow and diversify its presence in Europe, Asia & MENA while allowing for a natural development of its existing business relationships and the establishment of new ones in the global markets.

NBC has over 150 years of history and is currently the 6th largest Canadian bank. Through its branch and subsidiary network, NBC can service clients throughout North America, Europe, Asia & MENA. NBC's strategy is to further develop NBCCM as its hub for trading and financial services in Europe.

Summary:

NBCCM is looking for a Compliance Testing Manager to lead and deliver independent Compliance Testing activities for the London business. The role provides objective assurance over regulatory compliance and the effectiveness of internal controls through the design, execution, and reporting of a risk-based Compliance Testing Plan.

• Leads and delivers independent Compliance Testing for the London business, providing objective assurance over regulatory compliance and the effectiveness of internal controls.

Key accountabilities

• Creates the annual Test Plan for London.
• Own, design, and execute the London Compliance Testing Plan
• Independently issues Compliance Testing reports, thematic insights, and related assurance outputs.
• Escalate material findings, themes, emerging risks through Management Information (MI) to the appropriate London Governance forums.
• Maintains effective Issue tracking, validation, and follow-up, in line with established Compliance Testing Standards and Issue management processes.
• Ensure Compliance Testing activities remain independent of first-line management, with no involvement in operational decision‑making or control ownership.
• Strong people skills, as this role will regularly interact with senior management during testing activities.
• Strong Excel and data analysis skills, as the role involves working with large amounts of data.
• Works in a dual reporting structure. Reports directly to the London Head of Compliance and the COO, who are responsible for management oversight and accountability. Also has a dotted‑line reporting relationship with the Head of Compliance Testing to ensure alignment on standards, consistent methodologies, and testing guidance.

Professional qualifications and experience

• Preferably holds a CIA, CISA, or CPA qualification (or equivalent professional qualification).
• Senior‑level experience in Compliance Testing, Internal Audit, or a comparable second‑line assurance function within financial services.

What NBCCM has to offer

Access to competitive working conditions, a wide range of employee benefits, and a dynamic work environment.

Open, respectful workplace where all employees can achieve their full potential.

NBCCM recognizes that the culture of an organisation and the performance of its workforce are not mutually exclusive. Since our inception in 2013, NBCCM has worked tirelessly to ensure our cultural framework aligns not only with the Code of Conduct and Ethics of our parent company, NBC, but with our own environmental and local values. Promoting and supporting diversity in the workplace is an important aspect of good people management- it's about valuing everyone in the organisation as an individual. We at NBCCM have an effective diversity and inclusion approach concerning our employees. There are no silos in our teams and management strive to add value to our organisation, by contributing to employee well‑being and engagement. NBCCM takes pride in its diverse work force, employing and cultivating professionals from all over the globe.

Working at NBCCM can take different forms and it is built around the relationship of trust between the employer and its employees.

We're putting people first.

We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on peoples' lives.

We want our recruitment process to be fully accessible. If you require accommodation, feel free to let us know during your first conversations with us.

We welcome all candidates! What can you bring to our team?

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