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- Tasks: Oversee compliance for clients, manage onboarding, and conduct regular monitoring.
- Company: Vittoria & Partners is a dynamic regulatory hosting business focused on inclusivity and social responsibility.
- Benefits: Enjoy a positive workplace culture with opportunities for personal growth and development.
- Why this job: Join a team that values collaboration and offers impactful work in the compliance sector.
- Qualifications: Relevant experience in compliance and knowledge of UK regulations are essential.
- Other info: We welcome disabled applicants and provide support throughout the recruitment process.
The predicted salary is between 36000 - 60000 £ per year.
We are seeking a Compliance Monitoring Specialist to work within an Independent Regulatory Hosting Business in Slough.
The Compliance Monitoring Specialist will oversee clients ranging from investment managers to appointed representatives, providing compliance oversight, advice, and managing the firm's compliance monitoring program. This role involves working with various investment strategies and regulated activities, including start-ups and non-UK firms establishing a UK presence.
Responsibilities include:
- Ensuring clients conduct regulated activities in compliance with relevant rules and regulations.
- Project managing client onboarding and preparing business reports.
- Setting up client compliance infrastructure and customizing compliance collateral.
- Conducting regular compliance monitoring and providing ongoing advice, with knowledge of UK AR, MiFID, AIFMD, and possibly EU regulations, CFTC, SEC.
- Managing clients to ensure appropriate conduct of regulated activities and mitigation of financial crime risks.
- Assessing conflicts of interest and ensuring controls are in place.
- Overseeing client codes of ethics and reviewing financial promotions for some ARs.
- Assisting in maintaining and developing compliance policies and participating in internal committees.
We value face-to-face and virtual engagement to build strong relationships and effective compliance oversight.
About our firm: Vittoria and Partners is a privately owned firm that values each team member as a partner, emphasizing a positive workplace culture, diversity, inclusivity, and social responsibility. We encourage disabled applicants to contact us for support during recruitment.
Experience required:
- Relevant experience in-house at an FCA-regulated firm or in compliance consulting.
- Knowledge of UK AIFMD, MiFID, and willingness to learn about UK AR, CFTC, SEC, and other regulators.
- Ability to manage multiple client interactions.
- Excellent communication, verbal, written, and presentation skills.
Compliance Monitoring Specialist to work within an Independent Regulatory Hosting Business employer: JR United Kingdom
Contact Detail:
JR United Kingdom Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Specialist to work within an Independent Regulatory Hosting Business
✨Tip Number 1
Familiarise yourself with the specific regulations mentioned in the job description, such as UK AIFMD and MiFID. This knowledge will not only help you understand the role better but also demonstrate your commitment to compliance during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work within FCA-regulated firms. Attend industry events or webinars to make connections that could lead to valuable insights or referrals for the position.
✨Tip Number 3
Prepare to discuss your experience managing client interactions and compliance projects. Think of specific examples where you've successfully navigated complex compliance issues, as this will showcase your practical skills and problem-solving abilities.
✨Tip Number 4
Research Vittoria & Partners thoroughly to understand their values and workplace culture. Tailor your approach to align with their emphasis on diversity, inclusivity, and social responsibility, which can set you apart from other candidates.
We think you need these skills to ace Compliance Monitoring Specialist to work within an Independent Regulatory Hosting Business
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Monitoring Specialist. Familiarise yourself with relevant regulations such as UK AR, MiFID, and AIFMD, as well as the specific needs of Vittoria & Partners.
Tailor Your CV: Highlight your relevant experience in compliance, particularly any roles within FCA-regulated firms or compliance consulting. Emphasise your knowledge of the required regulations and your ability to manage client interactions effectively.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your understanding of the firm's values, such as diversity and social responsibility. Mention how your skills align with the role and how you can contribute to their positive workplace culture.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. Ensure that your documents are clear, concise, and professional, reflecting your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at JR United Kingdom
✨Know Your Regulations
Familiarise yourself with UK regulations such as AIFMD and MiFID, as well as any relevant EU regulations. Being able to discuss these in detail will show your expertise and readiness for the role.
✨Demonstrate Project Management Skills
Prepare examples of how you've successfully managed client onboarding or compliance projects in the past. Highlight your ability to juggle multiple tasks and maintain high standards under pressure.
✨Showcase Communication Skills
Since the role involves advising clients and conducting regular monitoring, practice articulating complex compliance concepts clearly and concisely. Be ready to demonstrate your verbal and written communication skills during the interview.
✨Emphasise Relationship Building
Vittoria & Partners values strong relationships, so be prepared to discuss how you build rapport with clients and colleagues. Share specific examples of how you've fostered collaboration and trust in previous roles.
