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For Companies At a Glance
- Tasks: Conduct compliance monitoring and produce reports to identify potential gaps.
- Company: Join Aviva, a leading investment management firm committed to inclusivity.
- Benefits: Enjoy a generous pension scheme, performance bonuses, and flexible working options.
- Why this job: Be part of a dynamic team making a real impact in compliance and risk management.
- Qualifications: Experience in compliance monitoring and knowledge of financial services is essential.
- Other info: Flexible working arrangements and a commitment to diversity make this role unique.
The predicted salary is between 36000 - 60000 £ per year.
Please note this position is based in London and this will be the contractual location of the successful candidate. Other locations cannot be considered.
This role is ideal for someone who understands the investment management business model and processes.
We are seeking a dedicated Compliance Monitoring Specialist to join our team. Your responsibilities include conducting independent, risk-based monitoring, themed reviews, and ad hoc reviews of procedures, business, and compliance processes. The objective is to identify and escalate potential compliance gaps related to laws, regulations, guidance, and internal policies. You will produce clear, concise reports for senior stakeholders and oversee risk-based surveillance tasks to ensure the effectiveness of controls related to order/best execution, market abuse prevention, and conflicts of interest. Building and maintaining strong relationships within relevant business areas and supporting the Compliance team are essential.
Skills and Experience
- Proven experience in compliance monitoring reviews
- Knowledge of surveillance activities, especially regarding market abuse (desirable)
- Background in financial services
- Project management skills, including testing plans development and execution
- Stakeholder management and engagement skills
Benefits
- Generous pension scheme with up to 14% contribution from Aviva
- Annual performance bonus eligibility
- Family-friendly parental and carer’s leave
- Holiday entitlement plus options to buy/sell additional days
- Up to 40% discount on Aviva products
- Flexible benefits, including electric cars
- Share plans and savings schemes
- 21 volunteering hours annually
Our Commitment
We are inclusive and welcome applications from all backgrounds and experiences. We encourage you to apply even if you don’t meet every requirement. Flexible working options, including part-time and job sharing, are considered. Most employees work around 50% of their time in the office, balancing flexibility with collaboration.
We interview every disabled applicant who meets the minimum criteria. Please email us at GlobalRecruitment@avivainvestors.com to disclose a disability and arrange an interview. Applications can be submitted online or via alternative methods upon request.
Compliance Monitoring Specialist employer: Aviva
Contact Detail:
Aviva Recruiting Team
GlobalRecruitment@avivainvestors.com
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Specialist
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance standards in the investment management sector. This knowledge will not only help you understand the role better but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in investment management. Attend industry events or join relevant online forums to build connections that could provide insights into the role and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've identified compliance gaps in previous roles. Being able to articulate your experience with risk-based monitoring and themed reviews will set you apart during interviews.
✨Tip Number 4
Showcase your project management skills by discussing any relevant projects you've led or contributed to. Highlighting your ability to develop and execute testing plans will demonstrate your readiness for the responsibilities of this role.
We think you need these skills to ace Compliance Monitoring Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Monitoring Specialist. Familiarise yourself with compliance monitoring, risk-based reviews, and the investment management business model.
Tailor Your CV: Highlight your relevant experience in compliance monitoring and financial services. Emphasise any project management skills and stakeholder engagement experience that align with the job description.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your understanding of compliance processes and your ability to identify potential compliance gaps. Mention specific examples from your past experience that demonstrate your skills.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or typos. A polished application reflects your attention to detail, which is crucial for a Compliance Monitoring Specialist.
How to prepare for a job interview at Aviva
✨Understand the Compliance Landscape
Make sure you have a solid grasp of compliance monitoring within the investment management sector. Familiarise yourself with relevant laws, regulations, and internal policies that govern the industry, as this knowledge will be crucial during your interview.
✨Prepare for Scenario-Based Questions
Expect to be asked about specific compliance scenarios or challenges you might face in the role. Prepare examples from your past experience where you successfully identified compliance gaps or implemented effective monitoring strategies.
✨Showcase Your Stakeholder Management Skills
Since building relationships is key in this role, be ready to discuss how you've effectively engaged with stakeholders in previous positions. Highlight any experiences where you facilitated communication between teams or resolved conflicts.
✨Demonstrate Your Analytical Skills
As a Compliance Monitoring Specialist, you'll need strong analytical abilities. Be prepared to discuss how you approach data analysis and reporting, especially in relation to risk-based monitoring and surveillance activities.
