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- Tasks: Join our Compliance Team to conduct monitoring reviews and recommend compliance improvements.
- Company: We're a leading brokerage focused on enhancing our compliance function.
- Benefits: Enjoy a collaborative work environment with opportunities for professional growth.
- Why this job: Make an impact in compliance while working with a dynamic team in a reputable firm.
- Qualifications: Experience in compliance within FCA-regulated firms is essential; strong communication skills are a must.
- Other info: This role offers a chance to engage with various stakeholders and contribute to important compliance projects.
The predicted salary is between 36000 - 60000 £ per year.
A leading brokerage is seeking a Compliance Monitoring Analyst to join its growing Compliance Team. This opportunity is a growth hire aimed at supporting the Head of Compliance and the wider team as the firm continues to bolster its compliance function.
Responsibilities
- Conduct monitoring reviews on specific thematic topics where compliance or regulatory risks exist, report findings to Compliance management, recommend steps for mitigation, and action follow-ups with relevant stakeholders.
- Review, develop, and update policies, procedures, and processes to align with regulatory standards.
- Contribute to other compliance policy reviews and compliance projects, engaging with relevant stakeholders as needed.
- Assist in responding to exchange and regulatory enquiries or requests.
Experience
- Proven compliance experience in an FCA-regulated firm (Investment bank, brokerage, trading house, etc.)
- Fixed income or commodities experience is preferred but not essential
- Familiarity with the regulatory requirements of trading exchange
- Demonstrated ability to communicate and interact effectively with front-office sales and trader
- Sound written and spoken communication skills
Compliance Monitoring Analyst employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Analyst
✨Tip Number 1
Make sure to familiarize yourself with the specific regulatory requirements of trading exchanges. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in FCA-regulated firms. Engaging with them can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Stay updated on the latest compliance trends and changes in regulations. This knowledge will be crucial during discussions with the Compliance management team and can set you apart from other candidates.
✨Tip Number 4
Prepare to discuss specific examples of how you've identified and mitigated compliance risks in previous roles. Real-life scenarios will showcase your problem-solving skills and your proactive approach to compliance.
We think you need these skills to ace Compliance Monitoring Analyst
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Compliance Monitoring Analyst position. Understand the key responsibilities and required experience, especially the importance of compliance in an FCA-regulated firm.
Tailor Your CV: Customize your CV to highlight relevant compliance experience, particularly in FCA-regulated environments. Emphasize any experience with fixed income or commodities, even if it's not essential, as it could set you apart.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your understanding of compliance monitoring and your ability to communicate effectively with various stakeholders. Mention specific examples from your past experience that demonstrate your skills.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no grammatical errors and that your communication is clear and professional, reflecting the sound written and spoken skills required for the role.
How to prepare for a job interview at Black Swan Group
✨Show Your Compliance Knowledge
Make sure to brush up on your knowledge of compliance regulations, especially those relevant to FCA-regulated firms. Be prepared to discuss specific examples from your past experience that demonstrate your understanding of compliance monitoring and risk management.
✨Prepare for Scenario-Based Questions
Expect questions that ask you to analyze hypothetical compliance scenarios. Practice articulating how you would conduct monitoring reviews, report findings, and recommend mitigation steps. This will showcase your analytical skills and problem-solving abilities.
✨Highlight Your Communication Skills
Since the role requires effective communication with various stakeholders, be ready to provide examples of how you've successfully interacted with front-office sales and traders in the past. Emphasize your ability to convey complex compliance issues in a clear and concise manner.
✨Demonstrate Your Team Player Attitude
The position involves working closely with the Head of Compliance and other team members. Share experiences that illustrate your collaborative approach and willingness to engage with others on compliance projects. This will show that you're not just a lone wolf but a valuable team member.
