regulatory compliance testing manager - vp / vice president in city of london

22 August 2018
randstad financial & professional, randstad financial services
job type
competitive salary & generous benefits
apply now

city of london, london
financial services
sub specialism
job type
working hours
competitive salary & generous benefits
reference number
randstad financial & professional, randstad financial services
+44 (0)20 7786 6917
apply now

job description

Do you want to work for a global leader in wholesale banking? Do you want work in a professional yet relaxed and collaborative team environment? Do you have the skills and experience necessary to be a leader in the Compliance Testing function for the EMEA region? If so, this may be just the role for you...


- Convenient central London location
- Competitive salary
- Opportunity to develop experience in a leadership role
- Generous annual leave entitlement
- Opportunity to oversee Compliance Testing Reviews for multiple business lines across the entire EMEA region
- Generous company pension scheme


Our client has invested heavily in building and enhancing the Compliance Testing function sitting within EMEA Central Compliance. This role is one of two Team Leads for the Regulatory Compliance Testing function covering the UK and wider EMEA businesses. As such, you will oversee, co-ordinate and ultimately be accountable for the Compliance Testing Reviews your team is undertaking.


-Develop and execute a comprehensive, best-in-class Compliance Testing plan in line with enterprise and regional requirements
- Partner with relevant stakeholders and provide assurance on an ongoing basis that the Testing program is fit for purpose - i.e. that you have personally driven through an appropriate jurisdictional coverage model covering key regulatory risks and are able to perform ad hoc targeted reviews where regulatory demand requires, have proactively sought out best deployment of resource and have a strong understanding of regulatory testing priorities
- Build relationships with regional and global stakeholders and risk teams in order to drive and execute the Annual Testing Schedule to successful conclusion
- Demonstrate progress against the Testing plan on an ongoing basis, addressing potential bottlenecks or escalating the same, identify synergies and appropriately communicate regulatory compliance risk issues in a timely manner to appropriate stakeholders.
- Provide strategic leadership and development of a team of experienced compliance professionals.
- Proactively, and in a timely manner, communicate to relevant stakeholders how regulatory compliance risks have been assessed and how the Plan is progressing


- Extensive and demonstrable knowledge of regional regulatory requirements applicable within EMEA (i.e. strong understanding of monitoring / testing against UK, EU requirements with exposure to BAFIN, ACPR, DFSA, CBI highly advantageous).
- Understanding of Compliance Testing and Compliance Risk Assessment methodologies. You will have hands on experience in performing front to back elements of a Compliance Testing Program and impeccable quality assurance / control skills.
- Demonstrable track record of assisting with the design, implementation and successful execution of Annual Compliance Testing Schedules which meet corporate and regulatory requirements.
- Strong leadership capability; leading by example, fostering trust and being aligned with the Bank's vision and values.
- Matrix management skills - demonstrating experience in an environment where management of regulatory requirements must be achieved in the context of the region, different jurisdictions, the line of business and multiple legal entities
- Partnership skills - the candidate will need to partner closely with multiple stakeholders including Country Compliance teams, Compliance Advisory groups, US Testing and Validation Teams and Lines of Business. This role must have the ability to cultivate and maintain excellent working relationship and credibility with all related risk partners and must be viewed as a trusted advisor to key stakeholders
- Problem solving skills - the candidate must demonstrate the ability to identify key issues, and obtain appropriate information for further analysis, proffering alternative solutions
- Strong communication and influencing skills - excellent interpersonal, communication (written and oral) skills are essential with the ability to liaise professionally and with diplomacy across all levels of staff
- Teamwork skills - you must be flexible in your work style and be able to work collaboratively with stakeholders and colleagues at all levels
- IT literate - including use of Microsoft Excel, Access, Work, Powerpoint and other reporting tolls but also able to understand the use of technology for improving the regulatory control environment
- Ethical beyond reproach
- Audit experience allied to proven leadership on regulatory compliance assignments would be desirable.


Click APPLY now (using your LinkedIn profile to apply or submitting an up to date CV). Alternatively contact Matt McLaren on 020 7786 6917 for more information.

We are seeking to arrange interviews ASAP, so please don't delay!

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003




qualified by experience


Pursuant to the Employment Agencies Act 1973 and associated legislation, Randstad is acting as an employment agency with respect to this role. As such we are sourcing candidates for introduction to our client for permanent direct engagement by said client.

educational requirements