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For Companies At a Glance
- Tasks: Join us as a Compliance Monitoring Associate, tackling compliance tasks and preparing reports.
- Company: Be part of a respected boutique Investment Management Company with a stellar reputation.
- Benefits: Enjoy a 9-month fixed-term contract with opportunities for professional growth and development.
- Why this job: Make an impact in the financial sector while enhancing your skills in compliance and regulation.
- Qualifications: Bring at least 2 years of compliance experience and a keen understanding of UK regulations.
- Other info: Stay updated on regulatory changes and contribute to meaningful compliance investigations.
The predicted salary is between 36000 - 60000 £ per year.
The Client
A highly regarded boutique Investment Management Company.
The Role
THIS ROLE IS A 9 MONTH FTC. The Compliance Monitoring Associate will undertake a variety of Compliance tasks, including Compliance administration and monitoring tasks such as preparing and implementing a Compliance Monitoring Plan, maintaining the Compliance Manual, Compliance policies and procedures, and the Compliance registers (Financial Promotions, UCIS promotion). This role will also be responsible for producing various committee reports for MI presentation.
The Compliance Monitoring Associate will assist in preparing and implementing a Compliance Monitoring Plan for the Investment Management firm, including the completion of the FCA and SEC Compliance Monitoring Plan (CMP), covering thematic and surveillance testing. The Compliance Monitoring Associate will maintain the Compliance Manual, Compliance policies and procedures, and compliance registers, including the registers for Financial Promotions. The role will also maintain the Compliance Task Workflow and will review non-complex marketing documentation.
The Compliance Associate will assist in preparing compliance reports for various committees ensuring appropriate MI is presented and will assist the Compliance Officer in AML testing and in the production of the Annual MLRO Report. The Compliance Monitoring Associate will review requests relating to Private Clients and assess whether the client can be accepted with the Investment Management business. It is vitally important that the incumbent of this role keeps abreast of regulatory developments and reviews how it impacts the business and supports complaint investigation.
The Candidate
- Minimum of 2 years Compliance experience within Financial Services – ideally investment management / wealth management.
- A professional Compliance qualification – advantageous.
- Good working knowledge of the UK regulatory framework (COBS, SYSC).
- Excellent attention to detail with strong analytical skills.
Compliance Monitoring Associate , Financial Promotions , Wealth Management , 9 month FTC employer: JJ SEARCH LIMITED
Contact Detail:
JJ SEARCH LIMITED Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Associate , Financial Promotions , Wealth Management , 9 month FTC
✨Tip Number 1
Familiarise yourself with the latest UK regulatory frameworks, especially COBS and SYSC. 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 investment management and wealth management sectors. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities.
✨Tip Number 3
Prepare to discuss specific compliance monitoring tasks you've handled in previous roles. Be ready to share examples of how you've implemented compliance plans or maintained compliance manuals, as this will showcase your practical experience.
✨Tip Number 4
Stay informed about recent developments in financial promotions and AML regulations. Being able to discuss current trends and their implications during your interview will set you apart as a knowledgeable candidate.
We think you need these skills to ace Compliance Monitoring Associate , Financial Promotions , Wealth Management , 9 month FTC
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly within financial services and investment management. Emphasise any specific tasks you've undertaken that align with the responsibilities of the Compliance Monitoring Associate role.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss your understanding of the UK regulatory framework and how your skills can contribute to maintaining compliance standards at the firm.
Highlight Relevant Qualifications: If you have a professional compliance qualification, be sure to mention it prominently in your application. This will demonstrate your commitment to the field and enhance your credibility as a candidate.
Showcase Analytical Skills: Given the importance of attention to detail and analytical skills in this role, provide examples in your application that showcase these abilities. Mention any specific projects or tasks where you successfully analysed data or improved compliance processes.
How to prepare for a job interview at JJ SEARCH LIMITED
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the UK regulatory framework, especially COBS and SYSC. Brush up on recent changes and how they might affect the investment management sector, as this will show your commitment to staying informed.
✨Demonstrate Attention to Detail
Given the nature of the role, it's crucial to showcase your attention to detail. Prepare examples from your past experience where your analytical skills helped identify compliance issues or improved processes.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in compliance scenarios. Think about how you would handle specific situations, such as a potential breach of compliance or a client acceptance issue, and be ready to discuss your thought process.
✨Showcase Your Teamwork Skills
The role involves working closely with various teams, so be prepared to discuss your experience collaborating with others. Highlight instances where you contributed to a team project or supported colleagues in achieving compliance objectives.
