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- Tasks: Monitor compliance activities and manage risks for investment management clients.
- Company: Join a leading Investment Management Group focused on compliance excellence.
- Benefits: Enjoy hybrid work options, competitive salary, bonuses, and professional development opportunities.
- Why this job: Be part of a dynamic team, enhance your regulatory knowledge, and make a real impact.
- Qualifications: Minimum three years in compliance monitoring within financial services required.
- Other info: Apply directly to our MD, David Symes, and be part of a supportive work culture.
The predicted salary is between 39000 - 46000 £ per year.
We are recruiting a compliance monitoring associate for our client, a leading Investment Management Group. The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (ARs) and AIFMs such that risks can be assessed and managed.
- Carrying out ongoing monitoring as per the CMP
- Developing deep relationships with the portfolio of ARs and meeting their needs; escalating issues and identifying offboarding risks where appropriate
- Identifying risks and producing management information (MI) in accordance with the Risk Management Framework
- Assisting with the delivery of the business plan for the Monitoring team and contributing to meeting team objectives
- Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered
- Taking responsibility for own progression including learning & development objectives
- Following the set policies and procedures around managing conduct risk and appropriate AR oversight
You should have at least three years experience undertaking compliance monitoring within financial services with an asset management or wealth management focus.
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
Associate Investment Manager - Compliance Recruitment Solutions employer: Compliance Recruitment Solutions
Contact Detail:
Compliance Recruitment Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Associate Investment Manager - Compliance Recruitment Solutions
✨Tip Number 1
Familiarise yourself with the latest compliance regulations in the investment management sector. This knowledge will not only help you during interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance and investment management fields. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities within their organisations.
✨Tip Number 3
Prepare to discuss specific examples of how you've identified and managed risks in previous roles. Being able to articulate your experience with compliance monitoring will set you apart from other candidates.
✨Tip Number 4
Research the company culture and values of the organisation you're applying to. Tailoring your approach to align with their ethos can make a significant difference in how you present yourself during the interview process.
We think you need these skills to ace Associate Investment Manager - Compliance Recruitment Solutions
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of a Compliance Monitoring Associate. Familiarise yourself with compliance monitoring in asset servicing or investment management to tailor your application effectively.
Highlight Relevant Experience: In your CV and cover letter, emphasise your three years of experience in compliance monitoring within financial services. Be specific about your achievements and how they relate to the requirements of the role.
Craft a Strong Cover Letter: Write a compelling cover letter that not only outlines your qualifications but also demonstrates your understanding of the regulatory landscape and your commitment to professional development in compliance.
Proofread Your Application: Before submitting, carefully proofread your application materials for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Compliance Recruitment Solutions
✨Understand Compliance Monitoring
Make sure you have a solid grasp of compliance monitoring principles, especially within asset servicing or investment management. Be prepared to discuss your previous experiences and how they relate to the role.
✨Showcase Relationship Building Skills
This role involves developing deep relationships with Appointed Representatives. Think of examples from your past where you've successfully built and maintained professional relationships, and be ready to share them.
✨Demonstrate Risk Management Knowledge
Familiarise yourself with risk management frameworks and be prepared to discuss how you've identified and managed risks in previous roles. Highlight any specific tools or methodologies you’ve used.
✨Prepare for Regulatory Landscape Questions
Stay updated on the current regulatory landscape affecting investment management. Be ready to discuss recent changes and how they might impact compliance monitoring, showcasing your commitment to continuous learning.
