Senior Compliance Testing Lead – Regulatory Assurance

National Bank of Canada Capital Markets - London, UK; Greater London; On-site; GBP 90,000 - 130,000; Full time

Benefits offered by this job

Competitive benefits

Dynamic work environment

Diversity and inclusion

Job summary

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.

Responsibilities

• 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.

Skills

Excel

Data analysis

People skills

Education

CIA, CISA, or CPA

Job description

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.