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- Tasks: Conduct detailed reviews of investment advice to ensure compliance with regulations.
- Company: Reputable wealth and investment management firm in Leeds.
- Benefits: Competitive salary and opportunities for professional growth.
- Why this job: Join a dynamic team and make a real impact in compliance monitoring.
- Qualifications: Level 4 Investment Advice Diploma and 3 years in compliance monitoring or audit.
- Other info: Strong stakeholder engagement skills are essential for success.
The predicted salary is between 36000 - 60000 £ per year.
A reputable wealth and investment management firm in Leeds is seeking experienced Compliance Monitoring Officers to enhance their compliance function. The role involves conducting detailed reviews and assessments of investment advice to ensure adherence to FCA regulations and internal standards.
Candidates must have a Level 4 Investment Advice Diploma and a minimum of 3 years in compliance monitoring or audit within wealth management. Strong stakeholder engagement skills are essential for this position.
Investment Compliance Monitor – Second-Line Oversight in Leeds employer: Jobs via eFinancialCareers
Contact Detail:
Jobs via eFinancialCareers Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Compliance Monitor – Second-Line Oversight in Leeds
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management sector and let them know you're on the lookout for opportunities. You never know who might have a lead or can put in a good word for you.
✨Tip Number 2
Prepare for those interviews by brushing up on FCA regulations and internal compliance standards. We want you to be the go-to person for compliance knowledge, so show off your expertise and confidence when discussing these topics.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Use our website to find roles that excite you and match your skills, especially in compliance monitoring.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can set you apart from other candidates. It shows your enthusiasm for the role and keeps you fresh in their minds as they make their decision.
We think you need these skills to ace Investment Compliance Monitor – Second-Line Oversight in Leeds
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance monitoring and any relevant qualifications, like the Level 4 Investment Advice Diploma. We want to see how your background aligns with the role, so don’t be shy about showcasing your skills!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your previous roles have prepared you for this position. We love seeing genuine enthusiasm, so let your personality come through!
Showcase Stakeholder Engagement Skills: Since strong stakeholder engagement is key for this role, make sure to include examples of how you've successfully worked with different teams or clients in the past. We want to know how you build relationships and communicate effectively!
Apply Through Our Website: We encourage you to apply directly through our website for a smoother application process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Jobs via eFinancialCareers
✨Know Your Regulations
Make sure you brush up on FCA regulations and internal compliance standards relevant to the role. Being able to discuss specific regulations and how they apply to investment advice will show that you're not just familiar with the basics, but that you’re ready to dive deep into compliance monitoring.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you've successfully conducted compliance reviews or audits. Highlight any challenges you faced and how you overcame them, as this will demonstrate your problem-solving skills and experience in the field.
✨Engage Stakeholders Effectively
Since strong stakeholder engagement is key for this position, think of ways you've built relationships in previous roles. Be ready to discuss how you’ve communicated compliance findings to different stakeholders and how you ensured their buy-in for necessary changes.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm’s compliance culture and how they measure success in compliance monitoring. This not only shows your interest in the role but also gives you a chance to assess if the company aligns with your values and career goals.
