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- Tasks: Join our team to conduct compliance reviews and ensure ethical practices in finance.
- Company: AJ Bell is a leading UK investment platform, serving over 593,000 customers.
- Benefits: Enjoy 25-31 days holiday, matched pension contributions, and private healthcare.
- Why this job: Make an impact in a dynamic environment while promoting consumer fairness.
- Qualifications: Experience in compliance within FCA-regulated firms and strong analytical skills required.
- Other info: Flexible working options and a supportive, inclusive workplace culture.
The predicted salary is between 36000 - 60000 £ per year.
We’re seeking a Compliance Monitoring Officer to join our Risk & Compliance team on a 12-month fixed-term basis to cover maternity leave. This is an excellent opportunity to make an immediate impact. Ideally, we want someone to start in September or October.
This role is crucial in maintaining and enhancing compliance within a dynamic, regulated financial services environment. You will help ensure we meet the FCA’s expectations, especially regarding Consumer Duty, by championing ethical practices and regulatory excellence.
Responsibilities include:
- Conducting detailed thematic and regular compliance reviews according to our Compliance Monitoring Plan.
- Assessing how well good customer outcomes are embedded in business practices, focusing on Consumer Duty and risk control.
- Supporting the Head of Compliance Monitoring in maintaining and delivering the Compliance Monitoring Plan.
- Providing feedback from reviews to promote collaborative improvement across the business.
- Tracking and closing actions from reviews using the Action Tracker.
- Ensuring consumers are central to decision-making and that fair, positive outcomes are delivered.
- Investigating breaches to identify root causes and ensure corrective actions are taken.
- Maintaining compliance registers, including breach logs, gifts/hospitality logs, and conflict of interest registers.
Requirements:
- Experience in compliance or quality assurance within an FCA-regulated firm. Experience in investment platforms, stockbroking, or similar sectors is preferred, but applications from other regulated environments are welcome.
- Strong understanding of compliance monitoring and testing methodologies.
- Knowledge of UK and EU regulatory frameworks.
- Familiarity with the FCA Handbook, especially COBS, SYSC, Financial Crime, CASS, MAR, and Consumer Duty.
- Awareness of anti-money laundering legislation, JMLSG guidance, and FCA financial crime prevention standards.
- A proactive, analytical approach with excellent attention to detail.
- Strong communication skills and the ability to build constructive relationships across teams.
Start date: Ideally September or October, but flexible for the right candidate.
About us:
AJ Bell is a leading UK investment platform provider, serving over 593,000 customers with assets exceeding £90.4 billion. Listed on the London Stock Exchange\’s Main Market since December 2018, we are a FTSE 250 company headquartered in Manchester, with offices in London and Bristol. We employ over 1,500 staff and have been recognized as one of the UK\’s best workplaces for six consecutive years and in 2024 as a Great Place to Work.
Our benefits include:
- Starting holiday entitlement of 25 days, increasing to 31, with holiday buy/sell options.
- Matched pension contributions up to 6%.
- Discretionary bonus and annual share awards.
- Buy As You Earn scheme, health cash plans, private healthcare, dental schemes.
- On-site gym, employee assistance, sick pay pledges, enhanced parental leave.
- Nursery fee discounts, travel loans, charitable giving options.
- Social events, parking, ongoing training, peer recognition, leadership breakfasts.
We support flexible working, with at least 50% of work in the office, and foster an inclusive environment where all employees can thrive.
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Compliance Monitoring Officer employer: Aj Bell
Contact Detail:
Aj Bell Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer
✨Tip Number 1
Familiarise yourself with the FCA Handbook, especially sections relevant to Consumer Duty and compliance monitoring. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the regulatory environment.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who have experience in FCA-regulated firms. Engaging in conversations can provide insights into the role and may even lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss specific examples of how you've contributed to compliance improvements in previous roles. Highlighting your analytical skills and attention to detail will resonate well with the hiring team.
✨Tip Number 4
Stay updated on current trends and changes in financial regulations. Being knowledgeable about recent developments will show that you are proactive and genuinely interested in the compliance landscape.
We think you need these skills to ace Compliance Monitoring Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance or quality assurance, particularly within FCA-regulated firms. Emphasise your understanding of compliance monitoring methodologies and any specific knowledge of the FCA Handbook.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and how your skills align with the responsibilities outlined in the job description. Mention your proactive approach and ability to build relationships across teams, as these are key attributes for the position.
Showcase Relevant Experience: When detailing your work history, focus on experiences that demonstrate your analytical skills and attention to detail. Include examples of how you've contributed to compliance reviews or improved processes in previous roles.
Highlight Regulatory Knowledge: Make sure to mention your familiarity with UK and EU regulatory frameworks, especially regarding Consumer Duty and anti-money laundering legislation. This will show that you understand the environment you'll be working in and can hit the ground running.
How to prepare for a job interview at Aj Bell
✨Know Your Compliance Frameworks
Familiarise yourself with the FCA Handbook and relevant regulations like COBS, SYSC, and Consumer Duty. Being able to discuss these frameworks confidently will demonstrate your understanding of the compliance landscape.
✨Showcase Your Analytical Skills
Prepare examples that highlight your analytical approach to compliance monitoring. Discuss how you've identified root causes of breaches in the past and the corrective actions you implemented to resolve them.
✨Emphasise Communication and Collaboration
Since the role involves providing feedback and promoting improvement across teams, be ready to share experiences where your communication skills led to successful collaboration. Highlight how you build constructive relationships within a team.
✨Demonstrate Proactivity and Attention to Detail
Prepare to discuss instances where your proactive approach made a significant impact on compliance outcomes. Mention specific details that showcase your attention to detail, especially in tracking and closing actions from reviews.
