CPD - Compliance Monitoring - Assistant Vice President

Sumitomo
London
Workplace: HybridFull timeFunction: Executive & General ManagementSkills: ["Accuracy","Attention to detail","Communication","Self-motivation","Relationship building","Work independently","Work under pressure"]

Support the EMEA Compliance Monitoring Programme by executing and documenting testing under the Compliance Monitoring Plan. Assist with scoping and planning, coordinate with review stakeholders, and communicate findings to the EMEA Head of Monitoring in time for escalation. Own the quality and completeness of working papers and review files, document issues and remediation actions, and follow up action plans with robust closure evidence. Maintain FCA Handbook knowledge and attend compliance meetings and mandatory training.

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Sumitomo
Sumitomo
2 hours ago

CPD - Compliance Monitoring - Assistant Vice President

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Source: Company careers pageValidated by: Fursa AI
Last checked: 2 hours agoStatus: Live

Job Summary

Support the EMEA Compliance Monitoring Programme by executing and documenting testing under the Compliance Monitoring Plan. Assist with scoping and planning, coordinate with review stakeholders, and communicate findings to the EMEA Head of Monitoring in time for escalation. Own the quality and completeness of working papers and review files, document issues and remediation actions, and follow up action plans with robust closure evidence. Maintain FCA Handbook knowledge and attend compliance meetings and mandatory training.
Location: London
Workplace: Hybrid
Employment Type: Full time
Job Function: Executive & General Management
Seniority: Sr. Director level

Key Responsibilities

  • •Execute testing on assigned reviews in a timely manner per Compliance Monitoring procedures.
  • •Document testing clearly and concisely in a re-performable manner and assist with scoping and planning of monitoring reviews.
  • •Communicate with review stakeholders throughout the review and report findings to the Head of Monitoring prior to review completion for escalation if required.
  • •Ensure factual accuracy and quality of working papers and completeness of assigned review files, including documentation of issues, risks, root cause analysis, and remediation actions.
  • •Follow up on action plans within deadlines, collect robust closure evidence, escalate overdue actions, and support CMP Management Information and ad hoc tasks as requested.

Pay and Benefits

Perks:Health InsuranceLife InsurancePaid LeaveLearning Budget

Key Requirements

  • •Educated to degree level with professional qualifications desirable.
  • •Good knowledge of financial services, markets, securities, and banking activities.
  • •Sound understanding of risks and controls, with prior monitoring or audit background desirable.
  • •Regulatory awareness and understanding of the emerging regulatory landscape.
  • •Strong written and verbal communication skills with accuracy and attention to detail; able to manage multiple concurrent issues, reviews, and projects.
Skills:AccuracyAttention to detailCommunicationSelf-motivationRelationship buildingWork independentlyWork under pressure

Company Brief

Sumitomo
Sumitomo Corporation is a global diversified trading and investment conglomerate engaged in metal products, transportation, infrastructure, media, real estate, and other business domains through investments, trading, and integrated solutions worldwide.
Industry: Conglomerates & Holding Companies
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Tokyo, Japan
Founded: 1919
WebsiteLinkedIn