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- Tasks: Execute compliance monitoring, conduct reviews, and identify regulatory improvements.
- Company: Join a leading firm in private banking, investment, and wealth management.
- Benefits: Enjoy flexible working options and opportunities for professional growth.
- Why this job: Make a real impact on compliance culture while developing valuable skills.
- Qualifications: No specific experience required; just a passion for compliance and learning.
- Other info: Engage with diverse teams and contribute to meaningful regulatory initiatives.
The predicted salary is between 36000 - 60000 £ per year.
The Compliance Monitoring Contractor will be responsible for executing the firm’s compliance monitoring programme, conducting thematic reviews, and identifying areas for regulatory improvement. This role is critical in ensuring the firm operates within the FCA/PRA regulatory framework and maintains best practices across its private banking, investment, and wealth management activities.
Key Responsibilities:
- Assist in the design, execution, and enhancement of the Compliance Monitoring Plan (CMP) in line with regulatory expectations and business needs.
- Conduct thematic, periodic, and ad hoc compliance reviews across various business functions, including investment management, private banking, and wealth services.
- Identify regulatory risks, assess control effectiveness, and provide recommendations for remediation.
- Prepare detailed reports on monitoring activities, highlighting key findings and working with stakeholders to implement corrective actions.
- Track and follow up on remedial actions to ensure compliance risks are addressed in a timely manner.
- Monitor regulatory developments and assess their impact on the firm’s compliance framework.
- Support the business in interpreting and applying compliance policies, including FCA/PRA rules and guidelines.
- Engage with key stakeholders across compliance, risk, operations, front office, and audit to enhance the compliance culture within the organisation.
- Contribute to regulatory reporting, governance committees, and internal compliance training initiatives.
Compliance Monitoring Contractor employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Contractor
✨Tip Number 1
Familiarise yourself with the FCA and PRA regulations. Understanding the specific compliance requirements and recent regulatory changes will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field. Attend industry events or join relevant online forums to connect with others who work in compliance monitoring. This can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss real-world examples of compliance challenges you've faced. Be ready to explain how you identified risks, assessed controls, and implemented solutions, as this will showcase your practical experience and problem-solving skills.
✨Tip Number 4
Stay updated on current trends in compliance monitoring. Read industry publications and follow thought leaders on social media to ensure you're aware of best practices and emerging issues that could impact the role.
We think you need these skills to ace Compliance Monitoring Contractor
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the Compliance Monitoring Contractor position. Make sure you understand the key responsibilities and how your skills align with the requirements.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance monitoring, regulatory frameworks, and risk assessment. Use specific examples that demonstrate your ability to conduct reviews and prepare reports.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of FCA/PRA regulations and your experience in compliance roles. Explain why you are passionate about compliance and how you can contribute to the firm's objectives.
Proofread Your Application: Before submitting, carefully proofread your application materials for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Broadgate
✨Understand the Regulatory Framework
Familiarise yourself with the FCA and PRA regulations relevant to the role. Being able to discuss specific regulations and how they impact compliance monitoring will show your depth of knowledge and commitment to the field.
✨Demonstrate Analytical Skills
Prepare examples of how you've identified regulatory risks or assessed control effectiveness in previous roles. Highlighting your analytical skills will be crucial, as this role involves conducting thematic reviews and making recommendations for improvement.
✨Showcase Your Communication Skills
Since the role requires engaging with various stakeholders, practice articulating complex compliance concepts clearly and concisely. Be ready to discuss how you’ve effectively communicated findings and worked with teams to implement corrective actions.
✨Prepare for Scenario-Based Questions
Expect questions that ask how you would handle specific compliance scenarios. Think through potential challenges you might face in the role and prepare structured responses that demonstrate your problem-solving abilities and proactive approach.
