Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Monitor compliance controls and engage with leaders to address concerns.
- Company: Reputable IFA/Wealth Management firm with a strong team culture.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Why this job: Make a real impact in compliance while working with industry experts.
- Qualifications: Experience in compliance monitoring and knowledge of FCA Handbook.
- Other info: Join a dynamic team with opportunities for career advancement.
The predicted salary is between 36000 - 60000 £ per year.
MERJE are working with a well known IFA/Wealth 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 an IFA, Financial Planning, 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.
Compliance Monitoring Officer - Wealth employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer - Wealth
✨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 the inside scoop on a Compliance Monitoring Officer role.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook. Make sure you can discuss COBS, DISP, and COLL confidently. This will show potential employers that you're not just a good fit, but that you really know your stuff!
✨Tip Number 3
When you get an interview, don’t just answer questions—ask them too! Engage with your interviewers about their compliance challenges and how you can help. This shows you're proactive and genuinely interested in the role.
✨Tip Number 4
Apply through our website! We make it super easy for you to find and apply for roles like the Compliance Monitoring Officer. Plus, it helps us keep track of your application and get back to you quicker!
We think you need these skills to ace Compliance Monitoring Officer - Wealth
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 and your knowledge of the FCA Handbook. We want to see how your background fits 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 skills align with our needs. Don’t forget to mention any specific experiences that relate to the responsibilities outlined in the job description.
Showcase Your Communication Skills: Since excellent communication is key for this role, make sure your written application reflects that. Keep your language clear and concise, and don’t shy away from demonstrating your ability to engage with different levels of associates.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it shows you're keen on joining our team!
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 wealth 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 the role.
✨Show Your Team Spirit
Since this role involves collaboration with senior leaders, be ready to talk about how you’ve worked effectively in teams before. Highlight your communication skills and how you’ve engaged with others to address compliance concerns.
✨Be Detail-Oriented
Attention to detail is crucial in compliance monitoring. Bring examples of how your organisational skills have helped you track compliance actions or report findings accurately. This will reassure them that you can handle the responsibilities of the role.
