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For Companies At a Glance
- Tasks: Monitor compliance and assess client transactions to ensure regulatory adherence.
- Company: Join a growing wealth management firm with diverse financial services.
- Benefits: Enjoy opportunities for remote work and professional development.
- Why this job: Be part of a culture that values compliance and offers impactful work.
- Qualifications: Experience in compliance within financial advisory or fund management is essential.
- Other info: Occasional travel to UK offices for meetings may be required.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY: Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.
THE RESPONSIBILITIES:
- Conduct regular compliance monitoring activities to ensure adherence to regulatory requirements and internal policies, including those related to financial advisory, fund management, and client money protections.
- Review and assess client account and transaction activity to identify any potential compliance risks or breaches.
- Provide support in maintaining compliance with the Financial Conduct Authority (FCA) regulations and General Data Protection Regulation (GDPR).
- Assist in the monitoring of fund management processes, ensuring that all regulatory and reporting requirements are met in a timely manner.
- Collaborate with various teams to promote a culture of compliance, providing advice and guidance where necessary.
- Conduct risk assessments and report findings to senior management, recommending improvements where required.
- Assist with the preparation for regulatory audits and inspections.
- Stay updated with relevant laws, regulations, and industry trends to ensure ongoing compliance.
- Support the development and implementation of internal compliance policies and procedures.
- Assist with the training of staff members on compliance-related matters.
- Occasionally travel to other UK offices for meetings or compliance-related activities.
EXPERIENCE REQUIRED:
- Previous experience in compliance, specifically within financial advisory and fund management sectors.
- Experience with custody and clearing functions is highly beneficial.
- Familiarity with client money protection regulations and GDPR compliance is preferred.
- Strong understanding of financial regulations, particularly those pertaining to the FCA.
Compliance Monitoring Analysts x 2 employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Analysts x 2
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and GDPR compliance requirements. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the financial advisory and fund management sectors. Attend industry events or join relevant online forums to connect with others who can provide insights and potentially refer you to opportunities at firms like ours.
✨Tip Number 3
Prepare to discuss specific compliance monitoring activities you've conducted in previous roles. Be ready to share examples of how you've identified risks and implemented solutions, as this will showcase your practical experience.
✨Tip Number 4
Demonstrate your ability to collaborate across teams by highlighting any past experiences where you've worked with different departments to promote compliance. This skill is crucial for the role and will set you apart from other candidates.
We think you need these skills to ace Compliance Monitoring Analysts x 2
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of a Compliance Monitoring Analyst. Familiarise yourself with compliance monitoring activities, FCA regulations, and GDPR requirements as these will be crucial in your application.
Tailor Your CV: Highlight your previous experience in compliance, particularly within financial advisory and fund management sectors. Be specific about your familiarity with client money protection regulations and any relevant achievements that demonstrate your understanding of financial regulations.
Craft a Strong Cover Letter: In your cover letter, express your passion for compliance and how your background aligns with the company's needs. Mention your ability to conduct risk assessments and your experience in collaborating with teams to promote a culture of compliance.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A well-presented application reflects your attention to detail, which is essential in compliance roles.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you have a solid understanding of the Financial Conduct Authority (FCA) regulations and General Data Protection Regulation (GDPR). Be prepared to discuss how these regulations impact compliance monitoring and what steps you've taken in previous roles to ensure adherence.
✨Showcase Your Experience
Highlight your previous experience in compliance, especially within financial advisory and fund management sectors. Be ready to provide specific examples of how you've identified compliance risks or breaches and the actions you took to mitigate them.
✨Demonstrate Collaboration Skills
Since the role involves working with various teams, be prepared to discuss how you've successfully collaborated with others in the past. Share examples of how you promoted a culture of compliance and provided guidance to colleagues.
✨Stay Updated
Show your commitment to ongoing professional development by discussing how you stay updated with relevant laws, regulations, and industry trends. Mention any recent training or resources you've engaged with that relate to compliance monitoring.
