At a Glance
- Tasks: Support compliance efforts in Securities Trading and monitor transactions effectively.
- Company: Join a leading financial services firm with a focus on integrity and compliance.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Dynamic role with opportunities for growth and learning in compliance.
- Why this job: Make a real impact in the financial sector while developing your compliance expertise.
- Qualifications: Knowledge of financial services and strong analytical skills required.
The predicted salary is between 50000 - 70000 € per year.
In this role, you’ll make an impact in the following ways:
- Supports day-to-day Securities Trading Conduct compliance efforts, with a focus on transaction monitoring.
- Review and investigate employees’ transaction monitoring alerts in a timely manner, ensuring adherence to the Policy.
- Provide guidance to employees on the Personal Securities Trading Policy.
- Ensure adequate records are maintained when closing alerts.
- Review any escalated items and if required, escalate items.
- Ensure employees transfer reportable accounts to an approved broker.
- Work with the business compliance officers as required during escalation process.
- Attend meetings and workshops as required in relation to the Personal Securities Trading Policy.
- Assist with ad-hoc projects as required.
To be successful in this role, we’re seeking the following:
- Knowledge of the financial services industry, U.S. securities markets, investment instruments, and compliance concepts.
- Strong analytical skills, problem-solving ability and attention to detail.
- Experience in Financial Services, Audit or Compliance background.
- Technical skills, particularly proficiency in Excel.
- Excellent interpersonal skills and a collaborative mindset.
Senior Specialist, Compliance & Control in Manchester employer: Limelight Health
As a Senior Specialist in Compliance & Control, you will thrive in a dynamic work environment that prioritises integrity and compliance within the financial services sector. Our company fosters a culture of collaboration and continuous learning, offering robust professional development opportunities and a supportive team atmosphere. Located in a vibrant area, we provide our employees with unique advantages such as flexible working arrangements and access to industry-leading resources, making us an exceptional employer for those seeking meaningful and rewarding careers.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Specialist, Compliance & Control in Manchester
✨Tip Number 1
Network like a pro! Reach out to folks in the financial services industry, especially those who know a thing or two about compliance. A friendly chat can lead to insider info on job openings and even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of U.S. securities markets and compliance concepts. We recommend creating a cheat sheet with key terms and recent news to impress your interviewers.
✨Tip Number 3
Show off your analytical skills! During interviews, be ready to discuss specific examples where you’ve tackled complex problems or improved processes. We love hearing about real-life experiences that highlight your attention to detail.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always on the lookout for candidates who are genuinely interested in joining our team.
We think you need these skills to ace Senior Specialist, Compliance & Control in Manchester
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights your experience in compliance and control, especially in the financial services sector. We want to see how your skills align with the role, so don’t be shy about showcasing your analytical prowess and attention to detail!
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 background makes you a perfect fit for our team. Remember, we love a good story, so share your journey in the industry!
Showcase Relevant Skills:Highlight your technical skills, especially your proficiency in Excel. If you've got experience with transaction monitoring or personal securities trading policies, make sure to mention that too. We’re looking for someone who can hit the ground running!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining the StudySmarter family!
How to prepare for a job interview at Limelight Health
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the financial services industry and U.S. securities markets. Be ready to discuss compliance concepts and how they relate to transaction monitoring, as this will show that you understand the core responsibilities of the role.
✨Show Off Your Analytical Skills
Prepare to demonstrate your strong analytical skills during the interview. You might be asked to solve a hypothetical problem or analyse a scenario related to transaction alerts. Practising with real-world examples can help you articulate your thought process clearly.
✨Excel at Excel
Since technical skills, particularly in Excel, are crucial for this role, make sure you’re comfortable discussing your experience with data analysis and reporting. If possible, bring examples of how you've used Excel to solve problems or streamline processes in previous roles.
✨Be a Team Player
Highlight your interpersonal skills and collaborative mindset. Be prepared to share examples of how you've worked with others in compliance or audit settings. This will show that you can effectively communicate and collaborate with business compliance officers and other team members.
