Compliance Investigator
2 days left
- Recruiter
- Confidential
- Location
- London
- Salary
- 550.00 - 670.00 GBP Daily
- Posted
- 18 Jul 2022
- Closes
- 15 Aug 2022
- Job Type
- Compliance & Regulation, Compliance
- Employer Sector
- Accountancy Practice
- Contract Type
- Contract
- Hours
- Full Time
- Travel
- None
Role: Compliance Investigator
Contract Length: 4 Months
Location: London
Responsibilities
CCO Investigations is responsible for conducting thorough independent fact-finds where control remediation, disciplinary proceedings, supervision failures or regulatory interaction are concerned as well as for the proactive identification and timely remediation and read-across of identified issues in the execution or design of the business' compliance processes and controls.
The candidate will form an important interface function for co-ordination with various internal functions and teams such as other teams within the Chief Compliance Officer function, General Counsel (including Regulatory Affairs), Human Resources, Chief Risk Officer, First Line Control teams and the Front Office as well as with regulators and other third parties.
Essential Skills and Qualifications
A university or comparable degree.
Knowledge and experience of compliance and/or regulatory investigations - a minimum of 4/5 years experience in this field is preferred.
Excellent analytical, management and presentation skills, solid interpersonal and communication skills, self-motivated, flexible and precise.
A high degree of diligence in working with sensitive and confidential data, analytical and conceptual thinking, ability to work efficiently, pragmatically and independently.
Excellent organizational skills, ability to prioritize effectively, and ability to work under pressure without compromising quality.
Sound understanding of banking and financial services including regulatory framework and expectations
Understands the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work
Contract Length: 4 Months
Location: London
Responsibilities
CCO Investigations is responsible for conducting thorough independent fact-finds where control remediation, disciplinary proceedings, supervision failures or regulatory interaction are concerned as well as for the proactive identification and timely remediation and read-across of identified issues in the execution or design of the business' compliance processes and controls.
The candidate will form an important interface function for co-ordination with various internal functions and teams such as other teams within the Chief Compliance Officer function, General Counsel (including Regulatory Affairs), Human Resources, Chief Risk Officer, First Line Control teams and the Front Office as well as with regulators and other third parties.
Essential Skills and Qualifications
A university or comparable degree.
Knowledge and experience of compliance and/or regulatory investigations - a minimum of 4/5 years experience in this field is preferred.
Excellent analytical, management and presentation skills, solid interpersonal and communication skills, self-motivated, flexible and precise.
A high degree of diligence in working with sensitive and confidential data, analytical and conceptual thinking, ability to work efficiently, pragmatically and independently.
Excellent organizational skills, ability to prioritize effectively, and ability to work under pressure without compromising quality.
Sound understanding of banking and financial services including regulatory framework and expectations
Understands the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work
