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- Tasks: Lead compliance reviews and report findings to senior management.
- Company: Join a leading financial institution in London focused on compliance excellence.
- Benefits: Enjoy competitive pay, professional development opportunities, and a dynamic work environment.
- Why this job: Make an impact by ensuring regulatory adherence and shaping compliance strategies.
- Qualifications: Experience in compliance reviews and strong report writing skills required.
- Other info: Stay updated with regulatory changes and collaborate across various financial sectors.
The predicted salary is between 43200 - 72000 £ per year.
A leading financial institution is seeking a talented Compliance Monitoring & Testing Associate to join its growing compliance function in London. This is a key role within the Central Compliance team, responsible for executing the firm’s annual monitoring plan and delivering assurance over regulatory and internal policy adherence across the business.
Key Responsibilities:
- Lead and conduct end-to-end compliance monitoring reviews, including scoping, fieldwork, issue identification, and reporting.
- Draft clear, concise, and risk-focused reports for senior management and stakeholders, highlighting findings and recommendations.
- Work closely with stakeholders across Investment Banking, Wealth Management, and Investment Management to assess control effectiveness and ensure timely remediation of issues.
- Contribute to the ongoing refinement of the firm’s monitoring methodology, including thematic and risk-based review planning.
- Stay up to date with relevant regulatory developments (e.g., FCA, PRA, MiFID II) to help shape the compliance monitoring agenda.
Candidate Profile:
- Proven experience delivering end-to-end compliance reviews within a regulated financial institution.
- Strong report writing skills and the ability to present findings clearly to senior stakeholders.
- Excellent stakeholder management, with the ability to build relationships across front office and control functions.
- A background in Investment Banking, Wealth Management, or Investment Management is essential.
- Knowledge of UK and EU regulatory frameworks and best practices.
Please reach out for more details.
Compliance Assurance employer: Jacobson Garner
Contact Detail:
Jacobson Garner Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Assurance
✨Tip Number 1
Familiarise yourself with the latest regulatory developments, especially those related to FCA, PRA, and MiFID II. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the financial sector, particularly those working in compliance roles. Attend industry events or join relevant online forums to build connections that could provide insights into the role and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of your experience in conducting compliance reviews. Be ready to explain your approach to scoping, fieldwork, and issue identification, as well as how you’ve effectively communicated findings to senior stakeholders.
✨Tip Number 4
Showcase your ability to work collaboratively with various teams, such as Investment Banking and Wealth Management. Highlight any past experiences where you successfully managed stakeholder relationships and contributed to resolving compliance issues.
We think you need these skills to ace Compliance Assurance
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Monitoring & Testing Associate. Familiarise yourself with compliance monitoring processes and the specific regulatory frameworks mentioned in the job description.
Tailor Your CV: Highlight your relevant experience in compliance reviews, particularly within regulated financial institutions. Emphasise your report writing skills and any experience you have in stakeholder management, especially in Investment Banking, Wealth Management, or Investment Management.
Craft a Strong Cover Letter: In your cover letter, clearly articulate why you are a good fit for this role. Mention your understanding of the regulatory landscape and how your background aligns with the key responsibilities outlined in the job description.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that your documents are clear and concise. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Jacobson Garner
✨Know Your Regulations
Familiarise yourself with the latest regulatory developments such as FCA, PRA, and MiFID II. Being able to discuss these topics confidently will demonstrate your commitment to compliance and your understanding of the industry.
✨Showcase Your Report Writing Skills
Prepare to discuss examples of reports you've drafted in previous roles. Highlight how you made complex information clear and actionable for senior management, as strong report writing is crucial for this position.
✨Demonstrate Stakeholder Management
Be ready to share experiences where you've successfully built relationships with stakeholders across different functions. This role requires excellent interpersonal skills, so showcasing your ability to collaborate effectively will be key.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in compliance scenarios. Think of specific instances where you identified issues during compliance reviews and how you approached remediation, as this will highlight your practical experience.
