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- Tasks: Lead compliance monitoring and develop risk-based plans for a dynamic investment manager.
- Company: Rapidly growing investment manager based in Leeds with a focus on compliance.
- Benefits: Competitive salary up to £75,000, hybrid working, bonuses, and additional benefits.
- Why this job: Make a real impact in compliance while advancing your career in financial services.
- Qualifications: CISI or CII level 4 qualifications and 5 years of compliance experience required.
- Other info: Join a supportive team with opportunities for professional growth and development.
The predicted salary is between 54000 - 84000 £ per year.
We are excited to be partnering with a rapidly growing Investment Manager based in Leeds looking for a Compliance Monitoring Manager to lead the monitoring function.
Responsibilities
- Develop and implement a risk-based Compliance and Central Monitoring Plan that aligns with risk appetite and regulatory requirements.
- Deliver the monitoring plan for Client-Facing Executives, including oversight of branch visits and related activities.
- Provide second-line assurance through oversight and Training & Competency monitoring.
- Oversee the execution and timely completion of thematic reviews and regular testing, including complex thematic assessments.
- Draft and maintain procedures for new or revised regular testing activities.
- Identify weaknesses or gaps within the compliance framework through targeted reviews, testing, and analytical assessments.
- Prepare comprehensive compliance reports for senior management and the Board, summarising key findings, emerging risks, and recommended remediation actions.
Requirements
- Minimum of CISI or CII level 4 qualifications and working towards Level 6.
- Minimum of 5 years' Compliance experience within the financial services or a similar regulated industry.
Location Leeds (hybrid working)
Salary up to £75,000 (plus bonus & benefits)
Compliance Monitoring Manager employer: Eames Consulting
Contact Detail:
Eames Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector and let them know you're on the hunt for a Compliance Monitoring Manager role. You never know who might have the inside scoop on openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of compliance frameworks and regulatory requirements. We recommend creating a cheat sheet of key concepts and recent developments in the industry to impress your interviewers.
✨Tip Number 3
Showcase your experience with thematic reviews and compliance reporting during interviews. Use specific examples from your past roles to demonstrate how you've identified gaps and implemented solutions, making sure to highlight your analytical skills.
✨Tip Number 4
Don't forget to apply through our website! It’s a great way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Compliance Monitoring Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Monitoring Manager role. Highlight your relevant experience in compliance and any specific achievements that align with the responsibilities mentioned in the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention your qualifications, like your CISI or CII certifications, and how your experience aligns with the company's needs.
Showcase Your Analytical Skills: Since the role involves identifying weaknesses within the compliance framework, make sure to showcase your analytical skills in your application. Provide examples of how you've successfully conducted reviews or assessments in the past.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Eames Consulting
✨Know Your Compliance Stuff
Make sure you brush up on your compliance knowledge, especially in the financial services sector. Be ready to discuss specific regulations and how they apply to the role. This shows that you’re not just familiar with the basics but can also navigate complex compliance issues.
✨Prepare for Scenario Questions
Expect scenario-based questions where you’ll need to demonstrate your problem-solving skills. Think of examples from your past experience where you identified compliance gaps or implemented successful monitoring strategies. Use the STAR method (Situation, Task, Action, Result) to structure your answers.
✨Showcase Your Analytical Skills
As a Compliance Monitoring Manager, analytical skills are key. Be prepared to discuss how you’ve used data analysis to identify risks or improve compliance processes. Bring examples of reports or assessments you've prepared to illustrate your capabilities.
✨Ask Insightful Questions
At the end of the interview, don’t forget to ask questions! Inquire about the company’s current compliance challenges or how they measure the success of their compliance programme. This shows your genuine interest in the role and helps you assess if it’s the right fit for you.
