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Compliance Monitoring Manager, Markets & Treasury

Posted 2 February by Fraser Carver Executive Search Ltd Ended

Fraser Carver are working with a reputable banking client in the City who are looking to appoint a dynamic Compliance Monitoring Manager into their 1LOD Risk & Control team aligned to their Corporate Treasury Division which also encompasses Corporate Markets. They are looking for someone with at least 2-3 years Monitoring experience (5-7 years work experience in total) who has had exposure to products such as FX, MM, Bonds, Capital Issuance or Securitisations.

This position is within the 1LOD Group Treasury Control Function. The role will cover Compliance monitoring. Key elements: Compliance risk assessment, Breach management, embedding a risk mindset across the business and delivery of a Compliance monitoring plan.

The key objective of the role is to develop, drive and deliver a comprehensive regulatory compliance risk assessment and monitoring regime.

  • Lead on day to day management of the compliance plan ensuring the controls landscape is effective and tested.
  • From knowledge of the business provide insight to the other members of Divisional Control Team of areas to consider from a regulatory compliance perspective in processes and controls
  • Ensuring adherence to Group policy, standards and methodologies appropriate to the business and provide management and measurement of operational risk, regulatory risk, and conduct and compliance risk through detailed assessment.
  • The role requires strong business/commercial compliance skills. Excellent organisational skills with the ability to deliver to deadlines.
  • A strength of character to challenge the business and deliver solutions


  • Forming effective working relationships with Corporate Treasury teams, working in partnership with them and others as required
  • Good communication and team work with other Risk/Audit business partners
  • Orchestrate and drive delivery of compliance 1st line surveillance, investigate issues and advise and document accordingly
  • Complete risk and control assessments
  • Develop and execute a plan for presentation of the state of control environment to both the Treasury Leadership Team and 2nd and 3rd line risk and audit functions.
  • Assist with embedding of other Group Policies.
  • Provide assistance and participate in other Control Function activities as and when required
  • Produce ad hoc reports, papers and presentations to a range of internal/external audiences for use by the Treasurer as and when required, e.g. Control matters for the Group Finance Director, Audit Committee etc

Key Knowledge/ Skills Required:

  • Mandatory - Audit and/or 1st line compliance monitoring experience (minimum 2 years)
  • Knowledge of corporate treasury and complex products, securitisations, capital issuance and hedging structures - capital markets
  • Part/full professional qualification or aptitude to achieve one
  • Good communicator
  • Good Powerpoint/Excel skills, ability to understand a complex business and implement a good control framework
  • Ability to build a network

Required skills

  • Bonds
  • Compliance Monitoring
  • Hedging
  • Operational Risk
  • Surveillance

Reference: 34385383

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