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- Tasks: Conduct compliance reviews and assist in creating the annual monitoring plan.
- Company: Join a leading global asset management firm with a strong reputation.
- Benefits: Enjoy a competitive salary, performance bonuses, and excellent corporate perks.
- Why this job: This role offers growth opportunities and a chance to impact compliance in finance.
- Qualifications: 5+ years in Compliance Monitoring or Internal Audit, preferably in asset management.
- Other info: Candidates must be UK-based with full work rights; no visa sponsorship available.
The predicted salary is between 48000 - 64000 £ per year.
Compliance Monitoring Officer
Asset Management
London – Up to £80,000 plus package
Gresham Hunt is partnered with a global asset management firm to find a new Compliance Monitoring Officer.
You will be responsible for:
- Performing Compliance monitoring reviews in line with regulatory expectations
- Assist in designing the Annual Compliance Monitoring plan and ensuring this is executed
- Provided senior stakeholders with MI
- Work closely with compliance colleagues to ensure policies and procedures are being implemented and maintained effectively
- Deputise for the Head of Monitoring where necessary
The successful candidate will have:
- 5+ years’ experience within Compliance Monitoring or Internal Audit, within an asset, investment, or wealth management context. Exceptional candidates from other areas of financial services may be considered
- Good knowledge of asset and investment management, in particular UCITS and fund products
- Knowledge of regulations pertaining to asset and investment management is useful, in particular MiFID, SMCR, Consumer Duty, and Market Abuse Regulation
- Strong stakeholder management skills
- Strong written and verbal communication skills
The successful candidate will be awarded a competitive salary, entitlement to a performance bonus, and strong corporate benefits.
There are strong opportunities for internal progression, both domestically and internationally.
Candidates must be based in the UK with full right to work. Unfortunately visa sponsorship is not available at this time.
For more information, please forward your CV to: john.bute@greshamhunt.com
Gresham Hunt | Compliance Monitoring Officer employer: Gresham Hunt
Contact Detail:
Gresham Hunt Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Gresham Hunt | Compliance Monitoring Officer
✨Tip Number 1
Make sure to familiarize yourself with the specific regulations mentioned in the job description, such as MiFID and SMCR. This knowledge will not only help you during the interview but also demonstrate your commitment to compliance in asset management.
✨Tip Number 2
Network with professionals in the asset management industry, especially those who work in compliance roles. Engaging with them can provide insights into the company culture and expectations, which can be invaluable during your application process.
✨Tip Number 3
Prepare to discuss your experience with compliance monitoring reviews and how you've contributed to designing compliance plans in previous roles. Be ready to share specific examples that highlight your skills and achievements.
✨Tip Number 4
Since strong stakeholder management skills are crucial for this role, think of instances where you've successfully managed relationships with senior stakeholders. Be prepared to articulate these experiences clearly during your discussions.
We think you need these skills to ace Gresham Hunt | Compliance Monitoring Officer
Some tips for your application 🫡
Understand the Role: Make sure you fully understand the responsibilities of a Compliance Monitoring Officer. Highlight your relevant experience in compliance monitoring or internal audit, especially within asset management.
Tailor Your CV: Customize your CV to reflect your 5+ years of experience in compliance monitoring or related fields. Emphasize your knowledge of regulations like MiFID and SMCR, and any specific achievements that demonstrate your stakeholder management skills.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying and how your background aligns with the job requirements. Mention your familiarity with UCITS and fund products, and express your enthusiasm for the role.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. Ensure that your communication is clear and professional, as strong written skills are essential for this position.
How to prepare for a job interview at Gresham Hunt
✨Showcase Your Compliance Knowledge
Make sure to highlight your understanding of compliance monitoring, especially in the context of asset management. Be prepared to discuss specific regulations like MiFID and SMCR, and how they impact compliance practices.
✨Demonstrate Stakeholder Management Skills
Since strong stakeholder management is crucial for this role, come prepared with examples of how you've effectively communicated and collaborated with senior stakeholders in previous positions.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past experiences where you had to navigate complex compliance issues and be ready to share those stories.
✨Discuss Your Experience with Monitoring Plans
Be ready to talk about your experience in designing and executing compliance monitoring plans. Highlight any specific methodologies or frameworks you've used and how they contributed to effective compliance management.
