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- Tasks: Join us as a Compliance Monitoring Analyst, ensuring top-notch compliance standards.
- Company: Be part of a leading Financial Services Group with exciting growth opportunities.
- Benefits: Enjoy a competitive salary of £54K plus bonuses and hybrid working options.
- Why this job: Make a real impact by identifying risks and improving compliance processes in a dynamic environment.
- Qualifications: Previous experience in compliance monitoring, ideally in asset/wealth management or retail financial advice.
- Other info: Great chance for internal progression in a rapidly expanding company.
The predicted salary is between 43200 - 57600 £ per year.
Analyst – Compliance Recruitment Solutions
Analyst – Compliance Recruitment Solutions
23 hours ago Be among the first 25 applicants
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COMPLIANCE MONITORING ANALYST – MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE FIRM REQUIRED
£54K + Bonus & Benefits 50% Hybrid (Reading)
REF:4125D2
We are recruiting for our client, a leading Financial Services Group, seeking an experienced Monitoring Analyst. Reporting to the Head of Monitoring, duties include;
- Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner
- Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk
- Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review
- Monitor regulatory developments and maintain an up-to-date knowledge of current issues and future trends and their likely impact on the company’s risk profile and activities
- Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements
- Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with the process.
COMPLIANCE MONITORING ANALYST – MONITORING EXP FROM ASSET/WEALTH MGT OR RETAIL FINANCIAL ADVICE FIRM REQUIRED
£54K + Bonus & Benefits 50% Hybrid (Reading)
REF:4125D2
We are recruiting for our client, a leading Financial Services Group, seeking an experienced Monitoring Analyst. Reporting to the Head of Monitoring, duties include;
- Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner
- Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk
- Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review
- Monitor regulatory developments and maintain an up-to-date knowledge of current issues and future trends and their likely impact on the company’s risk profile and activities
- Work with the Compliance Team in the establishment of adequate in-house controls and compliance procedures and contribute to compliance processes by identifying areas for improved adherence to regulatory requirements
- Ensure departmental logs and the Compliance Monitoring Programme are maintained and up to date and that they are appropriately risk rated in line with the process.
You should have previous experience in compliance monitoring, ideally in an asset/wealth management firm or a retail financial advice firm with good working knowledge of FCA rules.
Great opportunity to join rapidly expanding Company at an exciting time with plenty of opportunities for internal progression. NB We have already filled many roles at this client including some of the senior positions hence are well placed to advise you on these
So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (including contact no ) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.
Seniority level
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Seniority level
Mid-Senior level
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Employment type
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Job function
Human Resources
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Analyst - Compliance Recruitment Solutions employer: Jobs via eFinancialCareers
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StudySmarter Expert Advice 🤫
We think this is how you could land Analyst - Compliance Recruitment Solutions
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance trends. This knowledge will not only help you in interviews but also demonstrate your proactive approach to staying updated in the field.
✨Tip Number 2
Network with professionals in the compliance sector, especially those with experience in asset/wealth management or retail financial advice. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare specific examples from your past experiences that showcase your ability to identify control gaps and propose solutions. Being able to discuss real-life scenarios will set you apart during the interview process.
✨Tip Number 4
Research the company’s compliance culture and any recent news related to their operations. Tailoring your conversation to reflect your understanding of their specific challenges can make a strong impression.
We think you need these skills to ace Analyst - Compliance Recruitment Solutions
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring, particularly from asset/wealth management or retail financial advice firms. Use specific examples that demonstrate your ability to identify control gaps and propose solutions.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention your understanding of FCA rules and how your previous experiences align with the responsibilities outlined in the job description.
Highlight Relevant Skills: Emphasise skills that are crucial for the role, such as analytical thinking, attention to detail, and knowledge of compliance processes. Provide concrete examples of how you've applied these skills in past roles.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your professionalism and attention to detail, which are essential in compliance roles.
How to prepare for a job interview at Jobs via eFinancialCareers
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the FCA rules and regulations relevant to the role. Brush up on recent regulatory developments and be prepared to discuss how they might impact the company's risk profile.
✨Demonstrate Analytical Skills
Be ready to showcase your analytical skills by discussing past experiences where you identified control gaps or weaknesses. Use specific examples to illustrate how you determined root causes and proposed viable solutions.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance monitoring. Think about potential risks and how you would mitigate them, as well as how you would contribute to the annual Compliance Risk Assessment Process.
✨Show Enthusiasm for Continuous Learning
Express your commitment to staying updated on compliance trends and issues. Highlight any relevant training or certifications you've pursued, and discuss how you plan to keep your knowledge current in this rapidly evolving field.
