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- Tasks: Join us as a Compliance Monitoring Analyst, ensuring top-notch compliance standards.
- Company: Be part of a leading Financial Services Group with exciting growth opportunities.
- Benefits: Enjoy a competitive salary of £60K plus bonuses and hybrid working options.
- Why this job: Make a real impact by identifying risks and improving compliance processes in a dynamic environment.
- Qualifications: Previous experience in compliance monitoring within asset/wealth management or retail financial advice is essential.
- Other info: This role offers great potential for internal progression in a rapidly expanding company.
The predicted salary is between 48000 - 72000 £ per year.
Job Description
COMPLIANCE MONITORING ANALYST – MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE FIRM REQUIRED
£60K + Bonus & Benefits 50% Hybrid (London or Reading)
REF:4125D3
We are recruiting for our client, a leading Financial Services Group, seeking an experienced Monitoring Analyst. Reporting to the Head of Monitoring, duties include;
- Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner
- Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk
- Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review
- Monitor regulatory developments and maintain an up-to-date knowledge of current issues and future trends and their likely impact on the company’s risk profile and activities
- Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements
- Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with the process.
You should have previous experience in compliance monitoring, ideally in an asset/wealth management firm or a retail financial advice firm with good working knowledge of FCA rules.
Great opportunity to join rapidly expanding Company at an exciting time with plenty of opportunities for internal progression. NB We have already filled many roles at this client including some of the senior positions hence are well placed to advise you on these
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
COMPLIANCE MONITORING ANALYST - MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE F... employer: Compliance Recruitment Solutions
Contact Detail:
Compliance Recruitment Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land COMPLIANCE MONITORING ANALYST - MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE F...
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance standards relevant to asset/wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance monitoring space, especially those who have experience in asset or wealth management. Engaging with industry peers can provide insights and potentially lead to referrals for the position.
✨Tip Number 3
Prepare specific examples from your past work that showcase your ability to identify control gaps and propose solutions. Being able to articulate these experiences clearly will set you apart during discussions.
✨Tip Number 4
Research the company’s recent developments and compliance challenges. Showing that you understand their current risk profile and how you can contribute to mitigating those risks will make a strong impression.
We think you need these skills to ace COMPLIANCE MONITORING ANALYST - MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE F...
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring, particularly within asset/wealth management or retail financial advice. Use specific examples to demonstrate your understanding of FCA rules and how you've applied them in previous roles.
Craft a Strong Cover Letter: Write a cover letter that directly addresses the job description. Emphasise your proactive approach to identifying control gaps and your ability to propose viable solutions. Mention your familiarity with compliance processes and your commitment to maintaining regulatory standards.
Showcase Relevant Skills: In your application, clearly outline skills that are pertinent to the role, such as analytical thinking, attention to detail, and effective communication. Provide examples of how you've used these skills in past positions to enhance compliance monitoring efforts.
Proofread Your Application: Before submitting, thoroughly proofread your application materials for any spelling or grammatical errors. A polished application reflects your professionalism and attention to detail, which are crucial in compliance roles.
How to prepare for a job interview at Compliance Recruitment Solutions
✨Know Your Compliance Regulations
Familiarise yourself with the FCA rules and regulations relevant to compliance monitoring. Being able to discuss specific regulations and how they impact the role will demonstrate your expertise and preparedness.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world scenarios. Think of examples from your past experience where you identified control gaps or proposed solutions to compliance issues.
✨Showcase Your Analytical Skills
Highlight your ability to analyse data and identify trends. Be ready to discuss how you've used analytical skills in previous roles to improve compliance processes or mitigate risks.
✨Demonstrate Proactive Attitude
Employers value candidates who take initiative. Prepare to share instances where you proactively identified compliance risks and took steps to address them before they became larger issues.
