Financial Services Audit, Risk & Compliance
The Financial Services Audit, Risk and Compliance Team works across the entire financial services sector providing experienced audit, risk and compliance professionals to market leading businesses across the industry. This includes, but is not limited to:
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Investment Banking, Capital Markets.
- Investment Management, Asset Management, Fund Management, Hedge Funds, Global Custody and Securities.
- Private Banking and Wealth Management.
- Corporate, Commercial and Consumer Banks.
- Insurance - General, Commercial, Corporate, Life and Pensions, Lloyds and Reinsurance.
- Other financial services entities such as Building societies.
Over the last few years the financial services sector has been under continued regulation with regulations such as Sarbanes Oxley, Basel II and MiFID, requiring firms to expand year on year within their Audit, Compliance and Risk departments.
Our market specialist consultants have a wealth of experience and market knowledge to provide leading consultative advice to both candidates and clients.
Our audit consultants focus on Internal Audit and IT Audit, but their remit also includes related areas such as Business Assurance, Internal Control and Quality Assurance. The audit team has experience recruiting candidates at graduate levels, with newly qualified ACA or ACCA accountants making their transition into the financial services sector as well as with highly experienced internal audit professionals such as Audit Managers or Heads of Internal Audit. The team has similar experience in the IT audit fields, placing CISA or QiCA qualified professionals into positions auditing areas such as Infrastructure, Applications and general controls.
Our compliance consultants work across the FSA regulated environment, dealing with broader experienced compliance professionals as well as more specialist areas such as Compliance Advisory, Compliance Monitoring and Control, Trade Surveillance, Compliance Training, Anti-Money Laundering (AML) and Know Your Customer (KYC) and related fields such as Financial Crime and Fraud. This team also deals with graduates and analyst level candidates as well as Heads of Compliance and AML in their CF10 and CF11 capacities.
The risk consultants work across the industry with professionals in the Operational Risk, Credit Risk and Market Risk fields. The team deals with Risk Analyst, Associate, Manager and Head of Risk level professionals looking to develop their careers or experience within the financial services sector.
