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- Tasks: Join our team to help shape compliance monitoring strategies and conduct essential testing.
- Company: Be part of a leading fintech brokerage making waves in the financial industry.
- Benefits: Enjoy a flexible work environment with opportunities for professional growth and development.
- Why this job: Make a real impact on compliance while working in a dynamic and supportive team culture.
- Qualifications: Strong compliance experience, ideally from a bank or investment firm, with knowledge of MiFID/MiFIR.
- Other info: This is a 6-month contract role based in London, starting within a month.
The predicted salary is between 36000 - 60000 £ per year.
Currently working with a large fintech brokerage, who are looking for a Compliance Monitoring Consultant to join their London team. This individual will assist them in delivering their 2025 compliance monitoring plan, supporting the team on an initial 6 month contract.
Key Responsibilities:
- Document the methodology and approach for specific monitoring tests to ensure clarity and consistency.
- Conduct monitoring activities including both control and thematic testing.
- Assist the wider compliance team on market abuse, personal account dealing, outsourcing, transaction reporting, gifts and entertainment, and communications surveillance.
- Identify significant gaps within the control framework and propose practical, proportionate remediation measures.
- Assist the broader monitoring team in developing presentation materials for relevant governance committees.
Key Requirements:
- Strong compliance experience in a monitoring focused role.
- Previously worked within a bank, investment firm or trading venue.
- Understanding of MiFID/MiFIR and the FCA handbook.
- Able to start within a month.
Please reach out to Nicole Poole at npoole@danosconsulting.com to learn more about this opportunity.
Compliance Monitoring employer: Danos Group
Contact Detail:
Danos Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring
✨Tip Number 1
Familiarise yourself with the latest updates on MiFID/MiFIR and the FCA handbook. This knowledge will not only help you in interviews but also demonstrate your commitment to staying current in compliance regulations.
✨Tip Number 2
Network with professionals in the fintech and compliance sectors. Attend industry events or join relevant online forums to connect with others who may provide insights or referrals for the Compliance Monitoring Consultant role.
✨Tip Number 3
Prepare to discuss specific examples from your previous roles where you identified gaps in compliance frameworks and implemented effective remediation measures. This will showcase your practical experience and problem-solving skills.
✨Tip Number 4
Research the company’s compliance culture and recent initiatives. Tailoring your conversation to align with their values and goals during interviews can set you apart as a candidate who is genuinely interested in contributing to their team.
We think you need these skills to ace Compliance Monitoring
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Monitoring Consultant. Familiarise yourself with compliance monitoring methodologies and the specific requirements mentioned in the job description.
Tailor Your CV: Highlight your relevant experience in compliance roles, especially any work related to monitoring, MiFID/MiFIR, or the FCA handbook. Use specific examples that demonstrate your skills and achievements in these areas.
Craft a Strong Cover Letter: Write a compelling cover letter that addresses why you are a good fit for this role. Mention your understanding of the compliance landscape and how your previous experience aligns with the company's needs.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or typos. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Danos Group
✨Know Your Compliance Regulations
Make sure you have a solid understanding of MiFID/MiFIR and the FCA handbook. Brush up on these regulations before your interview, as they are crucial for the role and will demonstrate your expertise in compliance.
✨Prepare for Scenario-Based Questions
Expect to be asked about specific compliance scenarios or challenges you've faced in previous roles. Prepare examples that showcase your problem-solving skills and how you identified and addressed gaps in compliance frameworks.
✨Showcase Your Monitoring Experience
Highlight your previous experience in compliance monitoring roles, especially within banks or investment firms. Be ready to discuss the methodologies you used for monitoring tests and how you ensured clarity and consistency in your approach.
✨Demonstrate Team Collaboration Skills
Since you'll be assisting a wider compliance team, emphasise your ability to work collaboratively. Share examples of how you've contributed to team projects, particularly in developing presentation materials for governance committees.
