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- Tasks: Lead compliance monitoring and assurance for a global trading platform.
- Company: Join a leading trading platform that's rapidly expanding its business.
- Benefits: Enjoy hybrid working with three days in the office and flexible arrangements.
- Why this job: Make an impact by shaping compliance culture and mentoring a dynamic team.
- Qualifications: 5+ years in compliance monitoring, with strong communication and leadership skills required.
- Other info: Collaborate with various departments and engage with regulators during audits.
The predicted salary is between 48000 - 72000 £ per year.
THE COMPANY:
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Our client is a leading trading platform that is ambitiously expanding their Business. They are looking to hire a Group Compliance Monitoring Manager on a permanent basis.
This will be a hybrid working role, with 3 days in the office per week.
THE RESPONSIBILITIES:
- Design, implement, and oversee the firm’s global compliance monitoring and assurance programme to ensure adherence to regulatory obligations.
- Conduct risk-based compliance monitoring reviews, identifying areas of non-compliance and recommending remedial actions.
- Develop and maintain a compliance monitoring plan and risk assessment that aligns with regulatory expectations and the firm’s risk appetite.
- Prepare and present detailed compliance reports to senior management, identifying key findings and trends.
- Manage, mentor, and develop a team of five compliance monitoring professionals, providing guidance and support.
- Monitor regulatory developments and assess their impact on the firm’s compliance framework.
- Collaborate with key stakeholders, including Local Compliance, Marketing, Risk, and Internal Audit, to enhance the firm’s compliance culture.
- Ensure effective record-keeping and documentation of monitoring activities, findings, and remedial actions.
- Work closely with regulators and auditors during audits, inspections, and regulatory inquiries.
EXPERIENCE REQUIRED:
- Minimum of 5+ years in compliance monitoring, assurance, or audit within a regulated financial services firm (CFD/spread betting experience preferred).
- Excellent written and verbal communication skills, with experience presenting findings to senior management and relevant stakeholders.
- Proven experience managing and developing a team.
- Strong understanding of global regulatory frameworks.
- Ability to identify compliance risks and propose effective solutions.
- Strong analytical mindset with the ability to interpret regulations and policies.
- Ability to work collaboratively across multiple departments and jurisdictions.
For further information please contact Hannah Tabatabai
Group Compliance Monitoring Manager employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Group Compliance Monitoring Manager
✨Tip Number 1
Familiarise yourself with the latest global regulatory frameworks relevant to the trading industry. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in compliance and financial services. Attend industry events or webinars where you can meet people who work in similar roles. This could lead to valuable insights and potentially even referrals for the position.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance monitoring teams in the past. Highlight your leadership style and how you've developed team members, as this is a key aspect of the role.
✨Tip Number 4
Research the company’s current compliance challenges and recent regulatory developments. Being able to speak knowledgeably about these topics during your interview will show that you're proactive and genuinely interested in the role.
We think you need these skills to ace Group Compliance Monitoring Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance monitoring and assurance, especially within regulated financial services. Emphasise any relevant achievements and skills that align with the job description.
Craft a Compelling Cover Letter: Write a cover letter that specifically addresses the responsibilities of the Group Compliance Monitoring Manager role. Mention your experience in managing teams and conducting compliance reviews, and how you can contribute to the company's compliance culture.
Showcase Your Communication Skills: Since excellent written and verbal communication skills are crucial for this role, ensure your application is clear, concise, and free of errors. Use professional language and structure your documents well.
Highlight Regulatory Knowledge: Demonstrate your understanding of global regulatory frameworks in your application. Provide examples of how you've navigated compliance risks and implemented solutions in previous roles.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you have a solid understanding of the global regulatory frameworks relevant to the role. Brush up on recent changes and how they might impact the company's compliance strategy.
✨Showcase Your Leadership Skills
As this role involves managing a team, be prepared to discuss your experience in mentoring and developing others. Share specific examples of how you've successfully led teams in the past.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills. Think of scenarios where you identified compliance risks and the steps you took to address them. Be ready to explain your thought process.
✨Communicate Clearly
Since you'll be presenting findings to senior management, practice articulating complex compliance issues in a clear and concise manner. Use examples from your past experiences to illustrate your points.
