An experienced auditor is required to join the Compliance Testing Group of a leading global investment banking, securities and investment management firm. This is an exciting opportunity for an individual to work within the London arm of an international team utilising a combination of product control, audit and accounting, compliance and regulatory skills.

The Compliance Testing Group is made up of five individuals conducting tests covering the Securities Division, Investment Banking, Merchant Banking, Private Wealth Management, Research, and Asset Management. The successful candidate will be at junior VP/senior associate level and report through to the Head of CTG EMEA based in London.

The principal objective of this department is to create and execute detailed testing work programs to assess compliance with regulations and firm policies. The day to day responsibilities will include:

- Assist in the design of work programs and then execute test steps within assigned budgets, and meet tight deadlines to evaluate compliance with rules and regulations.
- Document work performed, findings, conclusions and corrective actions required in organised work papers.
- Communicate with business management on findings and obtaining consensus on corrective actions required.
- Team with colleagues around the globe, to share findings and refine processes.

The successful candidate will have a good understanding of the broker/dealer business as well as the rules and regulations under which such a firm operates. The client would ideally like to see a combination of the following:

- 5 + years of auditing experience or other investigative work in the financial services industry.
- (Recognised audit certification such as ACA, CIA, CISA, or CPA preferred)
- Excellent interview, presentation and written communication skills
- Excellent time management, analytical and communication skills.
- Integrity, motivation, intellectual curiosity and enthusiasm.
- Excellent knowledge of Microsoft Word and Excel is a must and knowledge of Access and PowerPoint is useful.
- Understanding of information technology systems and standard system implementation methodologies.
- Financial Instruments Product Knowledge (ACT, CFA, FRM qualifications would be useful)

In addition, the following knowledge set is preferred:
- Compliance background or good knowledge of rules and regulations
- Understanding of accounting

Our client are looking to fill this position as soon as possible, so if you feel you have the skills required, please forward your CV or call us to find out more.