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- Tasks: Monitor compliance controls and engage with senior leaders to address concerns.
- Company: Reputable Investment Management firm with a strong team culture.
- Benefits: Flexible working, competitive salary, and opportunities for professional growth.
- Why this job: Join a dynamic team and make a real impact in compliance monitoring.
- Qualifications: Experience in Compliance Monitoring and knowledge of FCA Handbook.
- Other info: On-site work in London just one day a week.
The predicted salary is between 36000 - 60000 £ per year.
MERJE are working with a well known Investment Management firm in their search for a dedicated Compliance Monitoring Officer. Working in an established team you will be responsible for:
- Undertaking second line of defence compliance monitoring for review of the effectiveness of the compliance controls in place in the business.
- Engaging with senior leaders across the business to understand their areas of concern and ensure that these are considered as part of the execution of monitoring.
- Designing & executing reviews as required under the Compliance Monitoring Programme in line with departmental procedures.
- Providing monthly report information on Compliance findings to enable Compliance Reporting.
- Monitoring trends across customer metrics, reviewing areas of concern.
- Agreeing remedial action with management and track that action to completion, highlighting any delivery concerns and escalating where appropriate.
You will have:
- Relevant Compliance Monitoring background, gained in either a Wealth Management or Investment Management environment.
- Strong knowledge of the FCA Handbook, including COBS, DISP and COLL.
- Ability to collaborate and work well within a team.
- Excellent verbal and written communication skills with associates of all levels.
- Excellent organisation skills and attention to detail.
- Very flexible working set up and looking for someone to be on-site in their London office one day each week.
Great opportunity to join an established firm who are part of a private equity backed group.
Compliance Monitoring Officer - Investment Manager employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer - Investment Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management sector and let them know you're on the lookout for opportunities. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of the FCA Handbook. Make sure you can discuss COBS, DISP, and COLL confidently. We want you to impress the hiring managers with your expertise!
✨Tip Number 3
Showcase your collaboration skills! During interviews, share examples of how you've worked with senior leaders to address compliance concerns. This will highlight your ability to engage effectively within a team.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Monitoring Officer - Investment Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Monitoring Officer role. Highlight your relevant experience in compliance monitoring, especially in Wealth or Investment Management. We want to see how your skills align with what we're looking for!
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 great fit for our team. Don’t forget to mention your knowledge of the FCA Handbook – it’s a big plus for us!
Showcase Your Communication Skills: Since this role involves engaging with senior leaders, make sure your written application reflects your excellent communication skills. Keep it clear, concise, and professional. We love seeing candidates who can articulate their thoughts well!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss any important updates. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at MERJE
✨Know Your Compliance Stuff
Make sure you brush up on the FCA Handbook, especially COBS, DISP, and COLL. Being able to discuss these regulations confidently will show that you’re not just familiar with compliance but that you truly understand its importance in the investment management sector.
✨Engage with Real Scenarios
Prepare to discuss specific examples from your past experience where you've successfully monitored compliance or dealt with issues. This will help demonstrate your practical knowledge and how you can apply it in this role.
✨Show Your Team Spirit
Since collaboration is key in this role, think of instances where you’ve worked effectively within a team. Be ready to share how you’ve engaged with senior leaders and contributed to a positive team dynamic.
✨Be Detail-Oriented
Highlight your organisational skills and attention to detail during the interview. You might want to mention how you track compliance findings and remedial actions, as this will resonate well with what they’re looking for in a candidate.