At a Glance
- Tasks: Support compliance efforts in Securities Trading and monitor transactions effectively.
- Company: Join a leading financial services firm with a strong commitment to compliance.
- Benefits: Competitive salary, health benefits, and opportunities for professional growth.
- Other info: Collaborative environment with opportunities for career advancement.
- Why this job: Make a real impact in the financial industry while developing your compliance expertise.
- Qualifications: Knowledge of financial services and strong analytical skills required.
The predicted salary is between 50000 - 70000 € per year.
Responsibilities
- Supports day-to-day Securities Trading Conduct compliance efforts, with a focus on transaction monitoring.
- Review and investigate employees’ transaction monitoring alerts in a timely manner, ensuring adherence to the Policy.
- Provide guidance to employees on the Personal Securities Trading Policy.
- Ensure adequate records are maintained when closing alerts.
- Review any escalated items and, if required, escalate them.
- Ensure employees transfer reportable accounts to an approved broker.
- Work with the business compliance officers as required during the escalation process.
- Attend meetings and workshops as required in relation to the Personal Securities Trading Policy.
- Assist with ad-hoc projects as required.
Qualifications
- Knowledge of the financial services industry, U.S. securities markets, investment instruments, and compliance concepts.
- Strong analytical skills, problem-solving ability, and attention to detail.
- Experience in Financial Services, Audit or Compliance background.
- Technical skills, particularly proficiency in Excel.
- Excellent interpersonal skills and a collaborative mindset.
Senior Specialist, Compliance & Control in Manchester employer: hackajob
As a Senior Specialist in Compliance & Control, you will thrive in a dynamic work environment that prioritises integrity and compliance within the financial services sector. Our company fosters a culture of collaboration and continuous learning, offering robust professional development opportunities and a supportive team atmosphere. Located in a vibrant financial hub, we provide our employees with access to industry-leading resources and networking opportunities, making it an exceptional place to grow your career.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Specialist, Compliance & Control in Manchester
✨Tip Number 1
Network like a pro! Reach out to folks in the financial services industry, especially those with compliance backgrounds. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of U.S. securities markets and compliance concepts. We want you to show off your analytical skills and problem-solving abilities, so have some examples ready to share!
✨Tip Number 3
Don’t forget to highlight your technical skills, especially your Excel prowess. We know how important it is in compliance roles, so make sure you mention any relevant projects or experiences that showcase your abilities.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to connect directly with us.
We think you need these skills to ace Senior Specialist, Compliance & Control in Manchester
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experience that match the Senior Specialist role. Highlight your knowledge of compliance concepts and any relevant experience in financial services to catch our eye!
Craft a Compelling Cover Letter:Use your cover letter to tell us why you're the perfect fit for this position. Share specific examples of how you've tackled compliance challenges or improved processes in your previous roles.
Show Off Your Analytical Skills:Since strong analytical skills are key for this role, consider including a brief example of a problem you solved using data analysis. This will help us see your thought process and attention to detail.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role without any hiccups!
How to prepare for a job interview at hackajob
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance concepts and the Personal Securities Trading Policy. Be ready to discuss how you've handled compliance issues in the past, as this will show your understanding of the role and its responsibilities.
✨Show Off Your Analytical Skills
Prepare to demonstrate your analytical skills during the interview. You might be asked to solve a hypothetical problem or analyse a scenario related to transaction monitoring. Practise explaining your thought process clearly and logically.
✨Excel at Excel
Since technical skills, especially in Excel, are crucial for this role, make sure you're comfortable with functions, pivot tables, and data analysis. You could even bring examples of how you've used Excel in previous roles to showcase your proficiency.
✨Be a Team Player
Highlight your interpersonal skills and collaborative mindset. Share examples of how you've worked with others in compliance or audit settings, especially when it comes to escalating issues or working with business compliance officers. This will show that you can fit into their team culture.
