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For Companies At a Glance
- Tasks: Ensure compliance with regulations through monitoring and testing across global offices.
- Company: Join a leading global investment firm managing £50B in assets with 400 employees worldwide.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth and development.
- Why this job: Be part of a crucial team that shapes compliance culture and drives positive change.
- Qualifications: 5-6 years in compliance monitoring, strong knowledge of UK regulations, and excellent analytical skills required.
- Other info: Act as a subject matter expert while collaborating with diverse teams globally.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
MERJE are currently representing a large global investment firm in the search for an experienced Compliance Monitoring specialist. With £50B in assets under management, firm employs around 400 individuals across a number of global offices.
The Role
The successful candidate will primarily focus on ensuring the firm adheres to regulatory requirements and internal policies through a structured Compliance Monitoring Programme (CMP). The successful candidate will conduct compliance testing, including thematic and desk-based reviews, at a global level, while providing the business with insights and recommendations to improve regulatory compliance.
You will be responsible for:
- Assisting with the execution of the compliance monitoring plan
- Conducting and completing second line compliance monitoring reviews across all offices, including thematic assessments and desk-based periodic checks, to assess regulatory risks and business adherence to policies globally
- Maintaining accurate and comprehensive record-keeping of gathered evidence to support findings and conclusions effectively
- Providing Senior Management with relevant Management Information regarding the status and progress of the Compliance Monitoring Plan
- Investigating potential compliance breaches and work with the relevant local compliance team to implement corrective actions.
- Acting as a subject matter expert in compliance monitoring, offering advice and support to the firm’s business functions as needed.
Requirements
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The ideal candidate will have approximately 5-6 years’ experience of operating in a compliance monitoring role within the Asset Management or Wealth Management spac
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Experience of applying monitoring methodologies / audit methodology
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Demonstrate understanding of the 2nd line of defence and of Compliance review work in general
- Good level of knowledge of UK regulatory requirements essential, covering topics such as Market Abuse, Conflicts of Interest, TCF, Dealing and Managing, Best Execution, Financial Promotions
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Ability to work independently, managing a diverse range of matters while collaborating with the wider business across jurisdictions and escalating issues when and if necessary.
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Excellent analytical skills with the ability to interpret regulatory requirements and assess their impact on business processes.
Senior Compliance Monitoring Officer - Investment employer: MERJE Ltd
Contact Detail:
MERJE Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Monitoring Officer - Investment
✨Tip Number 1
Familiarise yourself with the latest UK regulatory requirements relevant to the investment sector. This will not only help you understand the compliance landscape but also demonstrate your commitment and expertise during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in asset or wealth management. Engaging with industry peers can provide valuable insights and potentially lead to referrals for job openings.
✨Tip Number 3
Prepare to discuss specific compliance monitoring methodologies you've used in previous roles. Being able to articulate your experience with thematic assessments and desk-based reviews will set you apart from other candidates.
✨Tip Number 4
Showcase your analytical skills by preparing examples of how you've interpreted regulatory requirements and their impact on business processes. This will highlight your problem-solving abilities and readiness for the role.
We think you need these skills to ace Senior Compliance Monitoring Officer - Investment
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance monitoring, particularly within the Asset Management or Wealth Management sectors. Use specific examples that demonstrate your understanding of regulatory requirements and compliance methodologies.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Clearly outline how your 5-6 years of experience aligns with the responsibilities mentioned in the job description, such as conducting compliance reviews and providing insights to senior management.
Showcase Analytical Skills: Emphasise your analytical skills in both your CV and cover letter. Provide examples of how you've interpreted regulatory requirements and assessed their impact on business processes, as this is crucial for the role.
Proofread Your Application: Before submitting your application, thoroughly proofread all documents for spelling and grammatical errors. A polished application reflects your attention to detail, which is essential in a compliance role.
How to prepare for a job interview at MERJE Ltd
✨Know Your Regulatory Stuff
Make sure you brush up on UK regulatory requirements, especially those related to Market Abuse and Conflicts of Interest. Being able to discuss these topics confidently will show that you're well-prepared and knowledgeable.
✨Demonstrate Your Analytical Skills
Prepare examples from your past experience where you've successfully interpreted regulatory requirements and assessed their impact on business processes. This will highlight your analytical abilities and practical application of compliance monitoring.
✨Showcase Your Independence
Be ready to discuss how you've managed diverse compliance matters independently in previous roles. Highlighting your ability to work autonomously while collaborating with teams will be key to impressing the interviewers.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle potential compliance breaches or implement corrective actions. Think through some scenarios in advance so you can provide thoughtful and structured responses during the interview.
