At a Glance
- Tasks: Create and develop compliance monitoring plans while conducting audits across the business.
- Company: Established wealth manager in the heart of London with a hybrid working model.
- Benefits: Competitive salary, flexible working, and opportunities for career growth.
- Other info: Perfect for those looking to advance their career in a regulated environment.
- Why this job: Join a dynamic team and help shape a strong compliance culture in finance.
- Qualifications: Knowledge of FCA Handbook and experience in compliance or audit roles.
The predicted salary is between 45000 - 55000 £ per year.
We're recruiting for a Compliance Monitoring Associate to join the Group Compliance function at a well-established wealth manager in the City of London (hybrid working). This is a great opportunity for a compliance or audit professional to step into a broad, hands-on monitoring role at a firm spanning wealth management, investment advice, financial planning and operations.
What you'll be doing:
- Creating and developing the Group's Compliance Monitoring Plan
- Carrying out compliance monitoring audits across the business, engaging with staff at all levels
- Conducting interrogations, call listening, and evidence-based reviews
- Writing clear, well-evidenced reports and following actions through to completion
- Helping to embed and enhance a strong compliance culture across the firm
What you'll need:
- Solid working knowledge of the FCA Handbook, MiFID II, Data Protection (UK GDPR) and Financial Crime prevention requirements
- Experience in audit or compliance monitoring, ideally within wealth management, investment advice, financial planning or broader financial services
- Strong attention to detail with a natural instinct for spotting issues and following them through to resolution
- The confidence to challenge, handle objections, and drive change where it's needed
If you're looking to build your compliance monitoring career within a regulated wealth management environment, we'd love to hear from you.
Compliance Monitoring Associate employer: Cameron Kennedy
As a leading management consultancy, our client offers an exceptional work environment that fosters collaboration and innovation, particularly for professionals engaged in US GAAP to IFRS conversion projects. With a remote working model, employees enjoy the flexibility of working from anywhere in the UK while being part of a dynamic team that supports their professional growth through exposure to high-profile clients and complex financial challenges. The company values strong communication and project management skills, ensuring that every team member can contribute meaningfully to impactful projects.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Associate
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Cameron Kennedy looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Monitoring Associate
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Cameron Kennedy. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Cameron Kennedy
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Cameron Kennedy’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
