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For Companies At a Glance
- Tasks: Manage compliance monitoring, regulatory oversight, and provide advisory support in investment management.
- Company: Join a reputable Investment and Wealth Management firm focused on ethical finance.
- Benefits: Enjoy a values-led culture and the opportunity for professional growth in a supportive environment.
- Why this job: Gain broad compliance exposure while working autonomously in a dynamic and impactful role.
- Qualifications: Level 4 CISI, CFA, or equivalent compliance certification required; sector-specific experience preferred.
- Other info: This is an 18-month fixed-term contract with potential for future opportunities.
The predicted salary is between 36000 - 60000 £ per year.
Our client, a reputable Investment and Wealth Management firm, are recruiting for a Risk & Compliance Manager on an 18-month FTC. The role supports the Head of Risk & Compliance, focusing on regulatory oversight, risk management, and compliance assurance activities. This varied role is an excellent opportunity to gain broad compliance exposure across the Investment management arena.
Key Responsibilities Overview:
- Compliance Monitoring: Conduct client file checks, monitor communications, and provide input into the Compliance Monitoring Programme.
- Regulatory Oversight: Prepare Management Information (MI), assist with FCA reporting, and conduct due diligence.
- Advisory Support: Respond to compliance-related queries in investment management and financial advice.
- Governance & Risk: Maintain risk registers, liaise with risk champions, and oversee registers including PAD, conflicts, and complaints.
- Technical Compliance: Perform trade and transaction monitoring and assist with T&C scheme oversight.
- Policy & Audit: Maintain policies and support internal/external audits.
Ideal Candidate Profile:
- A detail-oriented and analytical compliance professional with the ability to work autonomously.
- Experience managing compliance monitoring frameworks and interpreting regulatory requirements.
- Effective communicator, able to influence at all levels and collaborate across functions.
- Comfortable with regulatory reporting, risk registers, and audit support.
- Motivated by ethical finance and working for a values-led, employee-owned organisation.
Requirements:
- Sector-specific compliance experience: Ideally in wealth/investment management.
- Understanding of Consumer Duty: And ability to translate monitoring results into improvement actions.
Qualifications:
- Level 4 CISI, CFA, or equivalent compliance certification.
Contact Detail:
MERJE Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Risk & Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in the investment and wealth management sector. This will not only help you understand the compliance landscape but also demonstrate your proactive approach during interviews.
✨Tip Number 2
Network with professionals in the risk and compliance field, especially those working in investment management. Attend industry events or join relevant online forums to gain insights and potentially get referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've managed compliance monitoring frameworks in the past. Highlight your analytical skills and ability to translate complex regulatory requirements into actionable strategies.
✨Tip Number 4
Showcase your understanding of Consumer Duty and how it impacts compliance practices. Be ready to suggest improvement actions based on monitoring results, as this will reflect your capability to contribute effectively to the role.
We think you need these skills to ace Risk & Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in risk management and compliance. Use keywords from the job description, such as 'regulatory oversight' and 'compliance monitoring', to demonstrate your fit for the role.
Craft a Compelling Cover Letter: In your cover letter, explain why you are passionate about compliance in the investment management sector. Mention specific experiences that showcase your analytical skills and ability to work autonomously.
Showcase Relevant Qualifications: Clearly list your qualifications, such as Level 4 CISI or CFA, in both your CV and cover letter. Highlight how these certifications have prepared you for the responsibilities outlined in the job description.
Prepare for Potential Questions: Think about how you would respond to questions regarding your experience with regulatory reporting and compliance frameworks. Be ready to discuss how you've handled compliance-related queries in previous roles.
How to prepare for a job interview at MERJE Ltd
✨Showcase Your Compliance Knowledge
Make sure to brush up on the latest regulatory requirements and compliance frameworks relevant to investment management. Being able to discuss specific regulations and how they impact the firm will demonstrate your expertise and preparedness for the role.
✨Prepare for Scenario-Based Questions
Expect questions that ask you to provide examples of how you've handled compliance issues in the past. Prepare scenarios where you successfully managed risk or improved compliance processes, as this will highlight your practical experience and problem-solving skills.
✨Demonstrate Your Analytical Skills
As a Risk & Compliance Manager, analytical skills are crucial. Be ready to discuss how you approach data analysis, monitoring, and reporting. You might be asked to interpret hypothetical data sets, so practice explaining your thought process clearly.
✨Emphasise Your Communication Abilities
Effective communication is key in this role. Be prepared to discuss how you've influenced stakeholders or collaborated with different teams. Highlight any experiences where your communication skills led to successful outcomes in compliance or risk management.
