Markets Compliance Testing (2LoD)
Core
Vice President leading risk-based compliance testing and assurance across EMEA markets for a global financial group.
Role type
Senior IC Vice President (Compliance Testing)
Builds
Risk-based compliance testing plans and assurance reports for senior management and regulators.
Domain
Financial Services / Banking / Markets / Compliance
Required skills
Risk-based compliance testing, UK/EU regulatory interpretation, stakeholder management, team supervision, regulatory risk analysis, procedure design, remediation management, management reporting, compliance technology implementation
Preferred skills
Experience in markets activities, coaching and mentoring, technology project participation
Technologies
Compliance testing tools, regulatory technology platforms
Responsibilities
Deliver risk-based markets compliance thematic and desk reviews across London and EMEA; Lead the design and execution of risk-based testing programmes; Supervise, coach, and train junior members of the Compliance Testing Delivery team; Conduct high-quality technical analysis of regulatory risks and requirements; Assist management in creating and delivering the department's Assurance Plan; Periodically review relevant procedures, systems, and controls; Provide regular management information (MI) for periodic compliance reports; Act as a subject matter expert (SME) in compliance technology or regulatory implementation projects; Track, manage, and take ownership of remediation actions related to compliance & conduct issues
Seniority
Senior, hands-on IC with management responsibilities
