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- Tasks: Join our team to help shape compliance monitoring strategies and conduct essential testing.
- Company: Be part of a leading fintech brokerage making waves in the financial industry.
- Benefits: Enjoy a flexible work environment with opportunities for professional growth.
- Why this job: Make a real impact on compliance while working in a dynamic and supportive culture.
- Qualifications: Strong compliance experience, ideally from a bank or investment firm, is essential.
- Other info: This is a 6-month contract role based in London, starting within a month.
The predicted salary is between 36000 - 60000 £ per year.
Currently working with a large fintech brokerage, who are looking for a Compliance Monitoring Consultant, to join their London team. This individual will assist them in delivering their 2025 compliance monitoring plan, supporting the team on an initial 6 month contract.
Key Responsibilities:
- Document the methodology and approach for specific monitoring tests to ensure clarity and consistency.
- Conduct monitoring activities including both control and thematic testing.
- Assist the wider compliance team on market abuse, personal account dealing, outsourcing, transaction reporting, gifts and entertainment and communications surveillance.
- Identify significant gaps within the control framework and propose practical, proportionate remediation measures.
- Assist the broader monitoring team in developing presentation materials for relevant governance committees.
Key Requirements:
- Strong compliance experience in a monitoring focused role.
- Previously worked within a bank, investment firm or trading venue.
- Understanding of MiFID/MiFIR and the FCA handbook.
- Able to start within a month.
Please reach out to Nicole Poole at npoole@danosconsulting.com to learn more about this opportunity.
Contact Detail:
Danos Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring
✨Tip Number 1
Familiarise yourself with the latest updates on MiFID/MiFIR and the FCA handbook. This knowledge will not only help you in interviews but also demonstrate your commitment to staying current in compliance regulations.
✨Tip Number 2
Network with professionals in the fintech and compliance sectors. Attend industry events or webinars to connect with others who may have insights into the company or role, which can give you an edge during the application process.
✨Tip Number 3
Prepare to discuss specific examples from your previous roles where you identified gaps in compliance frameworks and implemented solutions. This will showcase your practical experience and problem-solving skills during any discussions.
✨Tip Number 4
Research the company’s compliance monitoring plan and be ready to share your thoughts on how you could contribute to its success. Showing that you’ve done your homework can set you apart from other candidates.
We think you need these skills to ace Compliance Monitoring
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, particularly in monitoring roles. Emphasise any relevant work within banks, investment firms, or trading venues, and showcase your understanding of MiFID/MiFIR and the FCA handbook.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the key responsibilities mentioned in the job description. Explain how your skills and experiences align with their needs, particularly in documenting methodologies and conducting monitoring activities.
Showcase Relevant Skills: In your application, highlight your ability to identify gaps within control frameworks and propose remediation measures. Provide examples of how you've assisted teams in developing presentation materials for governance committees.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Danos Group
✨Know Your Compliance Regulations
Make sure you have a solid understanding of MiFID/MiFIR and the FCA handbook. Brush up on these regulations before the interview, as they are crucial for the role and will likely come up in conversation.
✨Demonstrate Your Monitoring Experience
Be prepared to discuss your previous compliance monitoring roles in detail. Highlight specific examples where you've conducted monitoring activities or identified gaps in control frameworks, as this will showcase your relevant experience.
✨Prepare for Scenario-Based Questions
Expect questions that ask how you would handle specific compliance scenarios. Think about potential challenges you might face in the role and how you would address them, demonstrating your problem-solving skills.
✨Showcase Your Teamwork Skills
Since you'll be assisting the wider compliance team, it's important to convey your ability to work collaboratively. Share examples of how you've successfully worked with others in past roles to achieve compliance objectives.
