Compliance Testing / Assurance Manager - Internal Audit

Sterling Williams are supporting a well established Capital Markets business in the City of London who are looking to grow their Compliance Testing function on a permanent basis.

This would suit candidates from an Internal Audit background (Consultancy/big-4/Bank) or in Compliance Monitoring, or Internal Controls position.

Compliance Testing Manager - 2nd line of defence

Permanent; full time (8.30am - 5pm)

City of London based - hybrid working (4 days initially, then 3:2 working pattern)

Salary circa £70 - 80,000 pa plus benefits

Role purpose is to lead and deliver independent Compliance Testing for the London business, providing objective assurance over regulatory compliance and the effectiveness of internal controls.

Key accountabilities

• Creates the annual Test Plan for London taking into account the Business priorities, strategy and control environment
• Own, design, and execute the London Compliance Testing Plan
• Independently issues Compliance Testing reports, thematic insights, and related assurance outputs.
• Escalate material findings, themes, emerging risks through Management Information (MI) to the appropriate London Governance forums.
• Maintains effective Issue tracking, validation, and follow-up, in line with established Compliance Testing Standards and Issue management processes.
• Ensu...