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- Tasks: Join us as a Compliance Monitoring Analyst, ensuring regulatory standards are met and risks are managed.
- Company: Be part of a leading Financial Services Group that's rapidly expanding and full of opportunities.
- Benefits: Enjoy a competitive salary of £54K plus bonuses, with 50% hybrid working options.
- Why this job: This role offers growth potential and the chance to make a real impact in compliance.
- Qualifications: Previous experience in compliance monitoring within asset/wealth management or retail financial advice is essential.
- Other info: Apply directly to our MD, David Symes FCA, for a chance to join a dynamic team.
The predicted salary is between 43200 - 75600 £ per year.
Job Description
COMPLIANCE MONITORING ANALYST – MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE FIRM REQUIRED
£54K + Bonus & Benefits 50% Hybrid (Reading)
REF:4125D2
We are recruiting for our client, a leading Financial Services Group, seeking an experienced Monitoring Analyst. Reporting to the Head of Monitoring, duties include;
- Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner
- Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk
- Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review
- Monitor regulatory developments and maintain an up-to-date knowledge of current issues and future trends and their likely impact on the company’s risk profile and activities
- Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements
- Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with the process.
You should have previous experience in compliance monitoring, ideally in an asset/wealth management firm or a retail financial advice firm with good working knowledge of FCA rules.
Great opportunity to join rapidly expanding Company at an exciting time with plenty of opportunities for internal progression. NB We have already filled many roles at this client including some of the senior positions hence are well placed to advise you on these
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.
Analyst - 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 Analyst - Compliance Recruitment Solutions
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance trends. Being well-versed in current issues will not only help you during interviews but also demonstrate your proactive approach to compliance monitoring.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in asset/wealth management or retail financial advice firms. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've identified control gaps and proposed solutions in your previous roles. This will showcase your problem-solving skills and your ability to mitigate risks effectively.
✨Tip Number 4
Research the company’s compliance culture and recent developments. Tailoring your conversation to reflect their values and challenges can set you apart from other candidates and show your genuine interest in the role.
We think you need these skills to ace Analyst - Compliance Recruitment Solutions
Some tips for your application 🫡
Understand the Role: Read the job description thoroughly to understand the key responsibilities and requirements. Highlight your relevant experience in compliance monitoring, especially in asset/wealth management or retail financial advice.
Tailor Your CV: Customise your CV to reflect the skills and experiences that align with the job. Emphasise your knowledge of FCA rules and any previous roles that involved compliance monitoring.
Craft a Compelling Cover Letter: Write a cover letter that showcases your enthusiasm for the role and the company. Mention specific examples of how you've identified control gaps and proposed solutions in past positions.
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
✨Know Your Compliance Regulations
Make sure you have a solid understanding of FCA rules and regulations. Brush up on recent changes and how they might impact the company’s operations. This will show your interviewer that you're proactive and knowledgeable about the industry.
✨Demonstrate Problem-Solving Skills
Be prepared to discuss specific examples where you've identified control gaps or weaknesses in previous roles. Highlight how you approached these issues, proposed solutions, and the outcomes. This will illustrate your analytical skills and ability to mitigate risks.
✨Showcase Your Monitoring Experience
Since the role requires experience in compliance monitoring, be ready to talk about your past responsibilities in this area. Discuss the monitoring activities you undertook, how you ensured high standards, and any tools or methodologies you used.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance monitoring programme and how it aligns with their overall risk management strategy. This not only shows your interest in the role but also your strategic thinking regarding compliance.
