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- Tasks: Lead compliance monitoring and manage a team to ensure regulatory standards are met.
- Company: Join a top Financial Services Group known for its commitment to excellence.
- Benefits: Enjoy a hybrid work model with flexibility and potential travel opportunities.
- Why this job: Make a real impact in compliance while developing your leadership skills in a dynamic environment.
- Qualifications: Experience in compliance monitoring or auditing, with strong communication and management skills required.
- Other info: This role offers a chance to engage with clients and present key findings.
The predicted salary is between 43200 - 72000 £ per year.
We are exclusively recruiting for our client, a leading Financial Services Group, recruiting an experienced Monitoring Manager. Reporting to the Head of Compliance and supervising a team, duties include:
- Lead the monitoring function within the business and provide strategic direction on the development of the function.
- Maintain and enhance the annual monitoring plan to ensure all areas are covered in frequency as per both regulatory expectations and client requirements.
- Ensure the above takes into consideration higher risk areas after discussion with senior management.
- Design (or ensure designed) detailed monitoring programmes across all relevant areas and ensure that when regulations/SOPs change, such programmes are properly updated.
- Liaise with relevant areas and allocate staff to complete monitoring reviews (both UK & offshore).
- Review findings and ensure a split between systems issues and actual regulatory breaches, considering if a breach is serious enough to be immediately reported to the client and/or regulatory authorities.
- Investigate the cause of all breaches & issues identified through monitoring, suggest remedial actions and SOP/control enhancement.
- Ensure all above is discussed with management and reports are issued.
- Attend client meetings, including Risk and Compliance Committees, to present key findings.
- Ensure all follow-up actions are agreed and appropriately implemented.
- Manage, mentor, and train the UK team & offshore Team.
You should have previous experience of compliance monitoring (or external or internal audit if also covering regulatory requirements) of retail investments (and be willing & able to quickly pick up pensions aspects if not covered before). You should also have staff management experience (including allocation of resources) and excellent communication skills.
Note: The role is 50/50 hybrid in their central London office but may involve travel outside the London area.
EXCLUSIVE: HEAD OF COMPLIANCE MONITORING - EXPERIENCE OF AUDITING/ MONITORING RETAIL INVESTMENT[...] employer: Compliance Recruitment Solutions
Contact Detail:
Compliance Recruitment Solutions Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land EXCLUSIVE: HEAD OF COMPLIANCE MONITORING - EXPERIENCE OF AUDITING/ MONITORING RETAIL INVESTMENT[...]
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in compliance monitoring, especially those related to retail investments. This knowledge will not only help you during interviews but also demonstrate your commitment to staying updated in a rapidly evolving field.
✨Tip Number 2
Network with professionals in the compliance and auditing sectors. Attend industry events or webinars where you can meet people who work in similar roles. Building these connections can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance monitoring or auditing processes in the past. Highlight your experience in leading teams and implementing effective monitoring programmes, as this will resonate well with the hiring managers.
✨Tip Number 4
Research the company’s culture and values before your interview. Understanding their approach to compliance and risk management will allow you to tailor your responses and show that you align with their objectives, making you a more attractive candidate.
We think you need these skills to ace EXCLUSIVE: HEAD OF COMPLIANCE MONITORING - EXPERIENCE OF AUDITING/ MONITORING RETAIL INVESTMENT[...]
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance monitoring and auditing, particularly in retail investments. Use specific examples that demonstrate your ability to lead teams and manage compliance functions.
Craft a Compelling Cover Letter: Write a cover letter that addresses the key responsibilities mentioned in the job description. Emphasise your strategic direction skills and your experience with regulatory expectations and client requirements.
Highlight Relevant Experience: In your application, clearly outline your previous roles related to compliance monitoring or auditing. Mention any experience you have with managing teams and liaising with senior management, as this is crucial for the role.
Proofread Your Application: Before submitting, carefully proofread your application 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 Recruitment Solutions
✨Understand the Compliance Landscape
Familiarise yourself with the latest regulations and compliance standards relevant to retail investments. Being able to discuss recent changes or challenges in the industry will demonstrate your expertise and commitment to the role.
✨Showcase Your Leadership Skills
As this role involves managing a team, be prepared to share examples of how you've successfully led teams in the past. Highlight your mentoring and training experiences, as well as how you allocate resources effectively.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills, especially regarding compliance breaches. Prepare to discuss specific instances where you've identified issues, proposed solutions, and implemented changes to prevent future occurrences.
✨Communicate Clearly and Confidently
Excellent communication skills are crucial for this position. Practice articulating your thoughts clearly, especially when discussing complex compliance matters. Be ready to explain how you would present findings to clients and senior management.
