Vice President, Compliance Manager - Testing & Quality Assurance

Morgan McKinley; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading recruitment consultancy in London is seeking a Compliance Testing professional. You will support the Head of Compliance Testing, ensure efficient testing processes, and manage a team. The ideal candidate has experience in compliance testing and a proven ability to deliver quality assurance to senior management. Strong analytical skills and the ability to liaise with regulators are essential. This role is crucial for maintaining the firm's governance and control procedures.

Qualifications

• Experience in compliance testing and monitoring.
• Strong analytical and reporting skills.
• Ability to manage and develop a team.

Responsibilities

• Support the Head of Compliance Testing Delivery in annual plans.
• Deliver risk-based assurance to senior management.
• Manage, coach and develop CTD team members.
• Liaise with regulators and auditors.

Job description

Job Description

• 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.

DUTIES AND RESPONSIBILITIES

Provide 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 mana...