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- Tasks: Join our team to help deliver a vital compliance monitoring plan.
- Company: Be part of a leading fintech brokerage in the heart of London.
- Benefits: Enjoy a 6-month contract with potential for growth and valuable experience.
- Why this job: Make an impact in compliance while working in a dynamic, fast-paced environment.
- Qualifications: Strong compliance experience and knowledge of MiFID/MiFIR required.
- Other info: Reach out to Nicole Poole for more details on this exciting opportunity.
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.
Compliance Monitoring employer: Danos Group
Contact Detail:
Danos Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring
✨Tip Number 1
Network with professionals in the fintech and compliance sectors. Attend industry events or webinars to connect with people who might have insights into the company culture and the specific requirements for the Compliance Monitoring role.
✨Tip Number 2
Familiarise yourself with the latest developments in MiFID/MiFIR regulations and the FCA handbook. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 3
Prepare to discuss your previous compliance monitoring experiences in detail. Think of specific examples where you identified gaps in control frameworks and how you proposed remediation measures, as this will showcase your practical knowledge during interviews.
✨Tip Number 4
Research the company’s current compliance monitoring practices and any recent news related to their operations. This will help you tailor your discussions and show that you are genuinely interested in contributing to their compliance monitoring plan.
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 directly 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 specific skills that are crucial for this role, such as your ability to identify gaps in control frameworks and propose remediation measures. Use examples from your past work to illustrate these skills.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is essential 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 your interview, as they are crucial for the role and will demonstrate your expertise in compliance.
✨Prepare for Scenario-Based Questions
Expect to be asked about specific compliance scenarios or challenges you've faced in previous roles. Prepare examples that showcase your problem-solving skills and how you identified and addressed gaps in compliance frameworks.
✨Showcase Your Monitoring Experience
Highlight your previous experience in compliance monitoring roles, especially within banks or investment firms. Be ready to discuss the methodologies you used for monitoring tests and how you ensured clarity and consistency in your approach.
✨Demonstrate Team Collaboration Skills
Since you'll be assisting a wider compliance team, emphasise your ability to work collaboratively. Share examples of how you've contributed to team projects, particularly in developing presentation materials for governance committees.
