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Manager, Compliance Monitoring & Testing

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Brewin Dolphin

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Location:
United Kingdom , London

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Category:
Banking

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

As an integral member of the UK Compliance Testing team, the Manager role helps support local Chief Compliance Officers (CCOs) in fulfilling their responsibilities defined under the RBC Regulatory Compliance Management Framework. Should you be shortlisted, do please let us know if you have any specific requirements for the interview. This is a full-time role and requires 4 days in the office at our London Bishopsgate office.

Job Responsibility:

  • Assess the adequacy of, adherence to, and the effectiveness of processes and day-to-day controls to manage regulatory compliance risk
  • Provide an opinion on the effectiveness of the processes and Regulatory Compliance Management (RCM) controls
  • Lead and deliver timely and accurate compliance testing reviews to manage Regulatory and Conduct risk, across the bank
  • Work with Compliance and business colleagues to track and advise on the appropriateness of action plans, to resolve issues identified during testing reviews
  • Contribute towards the continual enhancement of the testing approach and annual testing program, enhancing the existing Enterprise Monitoring and Testing control standards
  • Assist in the delivery of timely responses to internal audit
  • Support ad-hoc projects and activities as required, such as methodology improvements, stakeholder management and committee reporting

Requirements:

  • Bachelor's degree (or equivalent)
  • Proven Experience in Regulatory Compliance Testing and or Internal Audit
  • Experience within Financial Services (Capital Markets / Wealth Management / Asset Management)
  • Strong planning and organisation, analytical thinking, and problem-solving capabilities
  • Good senior stakeholder management

Nice to have:

  • Qualifications in auditing, monitoring or risk
  • Data Analytical skills
What we offer:
  • Comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Opportunities to work with the best in the field
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • A world-class training program in financial services

Additional Information:

Job Posted:
May 05, 2026

Expiration:
May 06, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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