Compliance Manager
- Permanent
William Rose Associates are currently partnering with an established Investment Bank firm based in London, which is looking for a Compliance Manager to join the team.
ESSENTIAL SKILLS | Compliance Manager
• At least 3-5 years of relevant experience within the industry.
• Well-versed in regulations and industry best practices.
• Skilled in performing regulatory research.
• Familiarity with internal control frameworks.
• Experience in assessing and testing business controls for effectiveness.
• Strong grasp of regulatory guidelines and standards.
• Experience in audit or controls is beneficial.
• Regulatory experience is also advantageous.
ROLE OVERVIEW | Compliance Manager
You will play a vital role in supporting the Compliance team by leading core compliance functions, including Monitoring & Testing and regulatory filings, while also engaging in both local and global initiatives. This position is heavily focused on ensuring compliance risks are effectively managed, which involves conducting thorough risk assessments, developing and executing monitoring plans, and carrying out detailed reviews. Key responsibilities include identifying and communicating any deficiencies to the business, overseeing remediation actions, and building strong relationships with stakeholders across the organization. This role requires a proactive approach to compliance, with a focus on maintaining a robust control environment and addressing evolving regulatory requirements.
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