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- Tasks: Conduct compliance monitoring and design reviews to enhance business effectiveness.
- Company: Ambitious Investment Management Firm with a focus on growth and flexibility.
- Benefits: Hybrid working, career progression, and mentorship from a respected Head of Compliance.
- Why this job: Shape a new role and make a real impact in a growing firm.
- Qualifications: Experience in Compliance and Investment Management, with strong regulatory knowledge.
- Other info: Flexible work locations in Bath, London, Salisbury, or Tiverton.
The predicted salary is between 28800 - 48000 £ per year.
What’s in it for you? There’s loads of flexibility to work from home with just 1 day a week in the office required. The firm has offices in Bath, London, Salisbury and Tiverton, so choose whichever one works best for you. This is a newly created role, and you’ll have plenty of scope to really make it your own. The business is growing and there are genuine opportunities for career progression. And you’ll get to learn from a very highly respected Head of Compliance as well!
What you’ll be doing: You’ll undertake 2nd LoD Compliance Monitoring for review of the effectiveness of the Compliance controls in place across the business. You’ll design and execute reviews as required under the Compliance Monitoring Plan in line with departmental procedures. You’ll ensure reviews occur across the whole customer journey and analyse company actions in the ‘eyes of the customer’, whilst maintaining a commercial focus. You’ll also engage with senior leaders to understand their areas of concern and ensure these are considered as part of the execution of monitoring. You’ll produce high quality reports arising from scheduled or ad hoc customer testing / sampling that succinctly prioritise important issues and your recommendations.
What we’re looking for: You’ll be an experienced Compliance professional with good Investment Management experience and strong working knowledge of the regulatory landscape impact retail Investment Managers (including Consumer Duty). You’ll ideally have experience of performing Compliance Monitoring reviews and of writing reports for senior management, although strong candidates looking to move into Compliance Monitoring from other areas of Regulatory Compliance will also be considered.
Interested? If so, click apply and send over your CV.
Compliance Monitoring Officer – Investment Management in Bath employer: Willow Resourcing
Contact Detail:
Willow Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Officer – Investment Management in Bath
✨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 a Compliance Monitoring Officer role. You never know who might have the inside scoop on opportunities or can put in a good word for you.
✨Tip Number 2
Prepare for those interviews by brushing up on your knowledge of the regulatory landscape, especially around Consumer Duty. We want you to be able to discuss how your experience aligns with the role and demonstrate your understanding of compliance monitoring.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that resonate with your values and career goals. Use our website to find roles that excite you, and tailor your approach to show why you’re a perfect fit for their team.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. It shows your enthusiasm for the role and gives you another chance to reiterate why you’d be a great addition to their compliance team.
We think you need these skills to ace Compliance Monitoring Officer – Investment Management in Bath
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 investment management and compliance monitoring, and don’t forget to showcase any specific achievements that align with the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this role. Mention your understanding of the regulatory landscape and how your skills can contribute to the team’s success.
Showcase Your Analytical Skills: Since the role involves analysing compliance controls and producing reports, make sure to highlight your analytical skills in your application. Provide examples of how you've successfully executed similar tasks in the past.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Willow Resourcing
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the regulatory landscape, especially how it impacts retail Investment Managers. Be ready to discuss specific regulations and how they relate to the role, as this will show your expertise and commitment.
✨Prepare for Scenario Questions
Expect questions that ask you to analyse compliance scenarios or past experiences. Think about examples where you've successfully identified compliance issues or improved processes, and be ready to share these stories in a clear and concise manner.
✨Engage with Senior Leaders
Since the role involves engaging with senior leaders, prepare some thoughtful questions about their areas of concern. This shows that you're proactive and genuinely interested in understanding the business's compliance challenges.
✨Showcase Your Reporting Skills
Be prepared to discuss your experience in writing high-quality reports. Bring examples if possible, and highlight how your reports have influenced decision-making or improved compliance practices in previous roles.