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- Tasks: Join a fintech brokerage to support compliance monitoring and testing activities.
- Company: A leading fintech brokerage in the heart of London, driving innovation in finance.
- Benefits: Gain valuable experience in compliance with potential for remote work and flexible hours.
- Why this job: Be part of a dynamic team shaping compliance strategies with real impact on the industry.
- Qualifications: Strong compliance background, ideally from banking or investment sectors, with knowledge of MiFID/MiFIR.
- Other info: Initial 6-month contract with opportunities for growth and development.
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 (City of London) employer: Danos Group
Contact Detail:
Danos Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring (City of London)
✨Tip Number 1
Network with professionals in the fintech and compliance sectors. Attend industry events or webinars to connect with people who might have insights into the company or role you're interested in.
✨Tip Number 2
Familiarise yourself with the latest developments in compliance regulations, especially MiFID/MiFIR and the FCA handbook. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that showcase your compliance monitoring skills. Think about situations where you've identified gaps in control frameworks and how you proposed solutions.
✨Tip Number 4
Reach out directly to current or former employees of the company on platforms like LinkedIn. They can provide valuable insights into the company culture and expectations for the Compliance Monitoring Consultant role.
We think you need these skills to ace Compliance Monitoring (City of London)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, particularly in monitoring roles. Emphasise any relevant work within banks, investment firms, or trading venues, and showcase your understanding of MiFID/MiFIR and the FCA handbook.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the key responsibilities mentioned in the job description. Explain how your previous experiences align with their needs, particularly in documenting methodologies and conducting monitoring activities.
Showcase Relevant Skills: In your application, highlight skills that are crucial for this role, such as analytical thinking, attention to detail, and the ability to identify gaps in control frameworks. Provide examples of how you've successfully applied these skills in past positions.
Follow Up: After submitting your application through our website, consider sending a polite follow-up email to express your continued interest in the position. This can help keep you on their radar and demonstrate your enthusiasm for the role.
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 the interview, as they are crucial for the role and will likely come up in conversation.
✨Demonstrate Your Monitoring Experience
Be prepared to discuss your previous compliance monitoring roles in detail. Highlight specific examples where you've conducted monitoring activities or identified gaps in control frameworks, as this will showcase your relevant experience.
✨Prepare for Scenario-Based Questions
Expect questions that ask how you would handle specific compliance scenarios. Think about potential market abuse cases or personal account dealing situations, and be ready to explain your approach to resolving them.
✨Showcase Your Team Collaboration Skills
Since you'll be assisting the wider compliance team, it's important to demonstrate your ability to work collaboratively. Share examples of how you've successfully worked with others in past roles, especially in developing presentation materials or conducting joint testing.
