Compliance, Financial Crime and Risk

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Salary: £60 - £80K - London

Our Client has a presence in 75 countries with more than 185,000 employees, including 145,000 in Europe.  They rank highly in 2 core activities:  Retail Banking & Services and Corporate & Institutional Banking ( CIB ).  They work continuously on behalf of their clients, helping them to realize their projects around the world.  You have the opportunity to be part of this, helping to serve their clients both in mature and emerging markets, providing financial solutions across a diverse range of experise, products and services.  

Strong risk management, combined with the stability that comes from being part of one of the largest banking groups in the world, underpin their success.  Joining our client, you would become part of an integral dynamic team that spans nationalities, cultures and backgrounds, drawing people together from around the globe.


Department Overview:

The successful candidate will operate as a member of a highly qualified team of approximately 85 Auditors operating as a geographical "hub" within the Group's wider Internal Audit function ( comprising 1300 staff overall).  The department's remit is to provide audit and consultancy services across Paris CIB, and the UK and ME regions.  

Primary recipients of services provided by the role advertised are the Businesses, Operations and Support Functions in the UK Region & CIB Paris (UK, CIB Paris, Ireland, Channel Islands), in close liaison with Senior Management and Head Office entities. The main focus is to help the organisation accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes.

Each Auditor is assigned to a team which, whilst part of the pooled “hub” concept, has a particular focus on defined business line(s) and / or function(s). As a member of the Compliance / Regulatory Affairs audit team, the candidate will have responsibility for undertaking technical compliance / regulatory audit reviews with a strong emphasis on Global Markets within Corporate & Investment Banking and associated activities. A fundamental attribute of the role is possession of strong expertise in the regulatory environment (from a compliance risk perspective) applicable to financial markets/investment banking activities.

The individual sought will additionally be expected to act as one of the department’s “experts” available for consultation by other auditors in respect of their focus area, sharing knowledge and cross-training when appropriate.

The Audit Hub provides staff with an excellent grounding in all aspects of the business, and interaction with Management enables strong relationships to be built. Having performed successfully in this role, the individual will have the benefit of a broad range of career opportunities within the Group - both within Internal Audit, and wider Business Lines, Operations and Functions; in the UK, France and abroad. A comprehensive training programme is in place to ensure continued professional development.


Overall Job Purpose

You will:

  • Contribute relevant technical expertise to the Compliance / Regulatory Affairs audit team to assist in establishing the team as a “centre of excellence” for technical assessment of regulatory adherence;
  • Play an active role in the Audit Hub, performing risk-based audit reviews and recommending solutions to address weaknesses identified


Key Responsibilities

A standard distribution of time:

1. Performing audit reviews

2. Undertaking risk assessment (so contributing to the Audit Plan)

3. Following up internal audit recommendations

4. Performing or participating in control related ad-hoc projects and investigations

 Main tasks are to be performed in line with professional standards of the IIA and Group internal guidelines, and comprise the following:

  • In accordance with our Client's audit methodology, contribute technical compliance elements of financial markets audit reviews conducted by core business teams / perform audits of Compliance departments and thematic audit reviews under the responsibility of the Regulatory Affairs team.
  • Hold sole responsibility for research, planning, execution and reporting of audit work around relevant regulatory risks / controls. (N.B. Initial focus will be on French, UK and EU regulations, although extra-European regulation must be considered where appropriate – e.g. Dodd Frank).

Deliver conclusions and recommendations supported by comprehensive and value-added written reporting.

Contribute to quality and effectiveness within the business by providing pro-active advice supported by practical and balanced solutions to issues.


Skills & Experience Required:

  • Very strong Compliance skillset –gained within Compliance / Legal / Audit functions within Financial Services (ideally investment banking)
  • A desire to travel (up to c.70% travel, mainly to Paris)
  • A Compliance or Legal qualification (or display of equivalent knowledge gained through practical experience)
  • Strong English and French language skills (verbal and written)



  • Highly motivated and proactive, with the following attributes:
  • Strong ability to analyse & synthesize complex information
  • Thoroughness of approach, with the ability to prioritise competing demands
  • Excellent written and verbal communication skills
  • Commitment and drive
  • Assertiveness
  • Ability to work within a close-knit team
  • Strong and evidenced interest in regulation/compliance



  • Be a role model, supporting and fostering a culture of good conduct
  • Demonstrate proactivity, transparency and accountability for identifying and managing conduct risks
  • Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure.
  • [For managers only] Take responsibility for your team’s conduct and conduct risks.




For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

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