Senior Compliance - Quality Assurance Lead

Robert Walters UK; City Of London; Hybrid; GBP 70,000 - 78,000; Full time

Job summary

An established industry player is looking for a Senior Compliance - Quality Assurance Lead to join their high-performing team. This role offers a unique opportunity to design and implement a quality assurance framework that addresses non-financial crime compliance risks. You will play a pivotal role in developing governance frameworks, conducting risk assessments, and providing expert guidance across various compliance functions. This position promises a dynamic work environment with a focus on collaboration and innovation, making it ideal for professionals eager to advance their careers in the financial services sector.

Qualifications

• Significant experience in a control function within the financial industry.
• Strong expertise in assessing and designing internal controls.

Responsibilities

• Develop and implement a robust QA governance and reporting framework.
• Conduct risk and control self-assessment testing and QA reviews.

Skills

Control function experience

Internal controls assessment

Risk assessment

Analytical skills

Communication skills

Organizational skills

Job description

Senior Compliance - Quality Assurance Lead

Our client, a leading Investment Bank, is seeking to appoint an experienced Core Compliance, Quality Assurance Lead. Reporting directly to the Head of Core Compliance Quality Assurance, this is an exceptional opportunity to play a key role in designing, implementing, and executing a quality assurance (QA) framework within Core Compliance, covering all non-financial crime compliance risks.

Key Responsibilities:

• Assist in developing and implementing a robust QA governance and reporting framework for Core Compliance, ensuring alignment with regional Operational Risk standards.
• Conduct risk and control self-assessment (RCSA) testing in line with the Operations Risk Framework methodology.
• Plan and execute QA reviews, testing, and monitoring activities to assess control effectiveness across Core Compliance functions.
• Provide expert guidance to Core Compliance teams on control challenges, best practices, and new initiatives.
• Perform issue validation and proactively manage updates and reporting on key QA initiatives.
• Prepare and present detailed management reports on control frameworks, QA work programme progress, and key findings.
• Work collaboratively across teams to drive effective and efficient operations with well-defined roles and responsibilities.
• Identify and share QA best practices within Core Compliance and across key stakeholders including, Legal, Risk, and Internal Audit.
• Contribute to wider, non-BAU projects where possible.
• Initially focus on Core Compliance in London, with plans to expand the QA programme across EMEA offices in the future.

Experience & Skills Required:

• Significant experience in a control function within the financial industry.
• Strong expertise in assessing and designing internal controls.
• Proven ability to assess risks, identify gaps, and implement improvements.
• Strong analytical skills and ability to think systematically across an enterprise.
• Excellent written and verbal communication skills, with the ability to present findings to senior management.
• Detail-oriented with strong organizational skills and the ability to manage multiple projects simultaneously.

This is an exceptional opportunity to join a high performing team and have a varied remit that offers an excellent platform to develop and grow.

About the job:

Contract Type: FULL_TIME

Focus: Compliance

Workplace Type: Hybrid

Experience Level: Mid Management

Language: English - Professional working

Location: City of London

Industry: Financial Services

Salary: £70,000 - £78,000 per annum

Job Reference: 5GVDAQ-CC0A263B

Date posted: 31 March 2025

Consultant: Claire Singer