At a Glance
- Tasks: Lead compliance monitoring and assurance programmes, ensuring regulatory adherence and managing a team.
- Company: Join a leading trading platform that's rapidly expanding and shaping the future of finance.
- Benefits: Enjoy hybrid working with three days in the office, plus opportunities for professional growth.
- Other info: Opportunity to work closely with regulators and enhance your career in a dynamic environment.
- Why this job: Make a real impact on compliance culture while collaborating with diverse teams and stakeholders.
- Qualifications: 5+ years in compliance monitoring or audit within financial services; strong analytical skills required.
The predicted salary is between 43200 - 72000 £ per year.
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.
Key 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.
Qualifications:
- Minimum of 5+ years in compliance monitoring, assurance, or audit within a regulated financial services firm (CFD/spread betting experience preferred).
- 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.
Senior Compliance Monitoring Manager - Regulatory in London employer: Compliance Professionals
As a leading trading platform, our client offers an exceptional work environment that fosters professional growth and collaboration. With a hybrid working model, employees enjoy the flexibility of remote work while benefiting from a supportive office culture that prioritises compliance excellence. The company is committed to developing its talent, providing ample opportunities for mentorship and career advancement within the dynamic financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Monitoring Manager - Regulatory in London
✨Tip Number 1
Familiarise yourself with the latest global regulatory frameworks relevant to trading platforms. 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 CFD or spread betting. Engaging with industry peers can provide insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific compliance monitoring strategies you've implemented in previous roles. Be ready to share examples of how you've identified risks and proposed solutions, as this will showcase your analytical skills.
✨Tip Number 4
Stay updated on recent compliance trends and case studies within the financial services sector. This knowledge will help you engage in meaningful discussions during interviews and show that you're proactive about your professional development.
We think you need these skills to ace Senior Compliance Monitoring Manager - Regulatory in London
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 or projects that demonstrate your ability to manage compliance risks effectively.
Craft a Compelling Cover Letter:In your cover letter, address the specific requirements mentioned in the job description. Discuss your experience with regulatory frameworks and how you have successfully implemented compliance programmes in previous roles.
Showcase Leadership Skills:Since the role involves managing a team, include examples of your leadership experience. Highlight how you've mentored or developed team members in the past, and how you foster a positive compliance culture.
Prepare for Regulatory Knowledge:Be ready to discuss your understanding of global regulatory frameworks during the application process. Consider including a brief overview of key regulations you are familiar with and how they relate to the role.
How to prepare for a job interview at Compliance Professionals
✨Showcase Your Regulatory Knowledge
Make sure to brush up on global regulatory frameworks relevant to the role. Be prepared to discuss how these regulations impact compliance monitoring and assurance programmes, as this will demonstrate your expertise and understanding of the industry.
✨Prepare for Scenario-Based Questions
Expect questions that ask you to identify compliance risks or propose solutions based on hypothetical situations. Practising these scenarios can help you articulate your thought process and problem-solving skills effectively during the interview.
✨Highlight Your Leadership Experience
Since the role involves managing a team, be ready to share examples of how you've mentored or developed others in your previous positions. Discussing your leadership style and how you foster a positive compliance culture will resonate well with the interviewers.
✨Demonstrate Analytical Skills
Prepare to discuss how you've used analytical skills to interpret regulations and assess compliance risks in past roles. Providing specific examples of reports you've prepared or trends you've identified will showcase your ability to contribute to the firm's compliance framework.
