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For Companies At a Glance
- Tasks: Manage compliance activities, conduct monitoring, and support regulatory oversight.
- Company: Join a reputable Investment and Wealth Management firm focused on ethical finance.
- Benefits: Enjoy a values-led culture in an employee-owned organisation with potential for growth.
- Why this job: Gain broad compliance exposure and make a real impact in the investment management sector.
- Qualifications: Must have compliance experience in wealth/investment management and relevant certifications.
- Other info: This is an 18-month fixed-term contract with opportunities for professional development.
The predicted salary is between 48000 - 72000 £ per year.
Our client, a reputable Investment and Wealth Management firm are recruiting for a Risk & Compliance Manager on an 18-month FTC. The role supports the Head of Risk & Compliance, focusing on regulatory oversight, risk management, and compliance assurance activities. This varied role is an excellent opportunity to gain broad compliance exposure across the Investment management arena.
Key Responsibilities Overview:
- Compliance Monitoring: Conduct client file checks, monitor communications, and provide input into the Compliance Monitoring Programme.
- Regulatory Oversight: Prepare Management Information (MI), assist with FCA reporting, and conduct due diligence.
- Advisory Support: Respond to compliance-related queries in investment management and financial advice.
- Governance & Risk: Maintain risk registers, liaise with risk champions, and oversee registers including PAD, conflicts, and complaints.
- Technical Compliance: Perform trade and transaction monitoring and assist with T&C scheme oversight.
- Policy & Audit: Maintain policies and support internal/external audits.
Ideal Candidate Profile:
- A detail-oriented and analytical compliance professional with the ability to work autonomously.
- Experience managing compliance monitoring frameworks and interpreting regulatory requirements.
- Effective communicator, able to influence at all levels and collaborate across functions.
- Comfortable with regulatory reporting, risk registers, and audit support.
- Motivated by ethical finance and working for a values-led, employee-owned organisation.
Requirements:
- Sector-specific compliance experience: Especially in wealth/investment management.
- Understanding of Consumer Duty: And ability to translate monitoring results into improvement actions.
Qualifications:
- Level 4 CISI, CFA, or equivalent compliance certification.
Compliance Manager employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in the investment and wealth management sector. This will not only help you understand the compliance landscape but also demonstrate your proactive approach during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in investment management. Attend industry events or join relevant online forums to gain insights and potentially get referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've managed compliance monitoring frameworks in previous roles. Highlight your analytical skills and ability to translate complex regulatory requirements into actionable strategies.
✨Tip Number 4
Showcase your understanding of Consumer Duty and how it impacts compliance practices. Be ready to suggest improvement actions based on monitoring results, as this will reflect your capability to contribute effectively to the role.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and risk management, particularly within the investment and wealth management sector. Use keywords from the job description to demonstrate your fit for the role.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of regulatory oversight and compliance assurance activities. Mention specific experiences that align with the responsibilities outlined in the job description, such as conducting client file checks or preparing Management Information.
Highlight Relevant Qualifications: Clearly state your qualifications, such as Level 4 CISI or CFA certification, in both your CV and cover letter. Emphasise how these qualifications equip you to handle the technical compliance aspects of the role.
Showcase Soft Skills: In your application, highlight your communication skills and ability to influence at all levels. Provide examples of how you've collaborated across functions or responded to compliance-related queries effectively.
How to prepare for a job interview at MERJE
✨Know Your Regulations
Familiarise yourself with the latest regulations in investment and wealth management. Be prepared to discuss how these regulations impact compliance monitoring and risk management, as this will demonstrate your expertise and understanding of the sector.
✨Showcase Your Analytical Skills
As a Compliance Manager, analytical skills are crucial. Prepare examples from your past experience where you successfully identified compliance issues or improved processes through data analysis. This will highlight your ability to work autonomously and make informed decisions.
✨Communicate Effectively
Effective communication is key in this role. Practice articulating complex compliance concepts in simple terms, as you may need to explain these to colleagues at various levels. Being able to influence and collaborate across functions will set you apart.
✨Demonstrate Ethical Commitment
Since the firm values ethical finance, be ready to discuss your motivations for working in compliance and how you align with their values. Share any experiences that showcase your commitment to ethical practices in finance, which will resonate well with the interviewers.
