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Compliance Monitoring, Assurance & Testing Manager

Rothschild & Co · London

1 week ago

Not specifiedFull_timeregulatory compliancecompliance monitoringassurance testing

Workplace

Not specified

Employment

Full_time

Location

London

Posted

1 week ago

Summary

This senior manager role leads the global compliance monitoring, assurance and testing programme for Global Advisory. It covers risk-based monitoring, independent control testing, remediation oversight and reporting across the firm's jurisdictions, while managing and developing team members.

Responsibilities

  • Design risk-based global compliance monitoring programmes
  • Lead thematic reviews and independent control testing
  • Assess regulatory controls and identify emerging risks
  • Oversee findings, remediation tracking and validation
  • Prepare assurance reports for senior leadership and committees
  • Manage and develop compliance monitoring team members
  • Support regulatory inspections and internal audit reviews
regulatory compliancecompliance monitoringassurance testingconduct riskinvestment banking compliancecontrol room oversight