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- Tasks: Lead the Compliance Monitoring Plan and ensure regulatory compliance.
- Company: Join a top-rated investment FinTech with a stellar Glassdoor score of 4.8.
- Benefits: Enjoy hybrid working options and a supportive company culture.
- Why this job: Be part of a team that values employee feedback and drives impactful customer outcomes.
- Qualifications: Strong Compliance Monitoring experience in investment management is essential.
- Other info: Contact Mark for an informal chat if you need help with your CV.
The predicted salary is between 43200 - 72000 £ per year.
Is there a better place to work in the UK? Probably not.
That’s what this firm’s Glassdoor reviews, and score (4.8) suggest. In my 25 years in recruitment, I don’t think I’ve ever heard employees, past and present, talk so positively about any other organisation.
And this is your chance to find out first-hand.
You’ll be responsible for the planning and execution of the Compliance Monitoring Plan, evolving monitoring and assurance activities to maintain oversight of customer outcomes and regulatory compliance.
You’ll drive a data-led approach, identifying the data that provides the best insight into customer outcomes and the effectiveness of controls. You’ll execute reviews and provide expert advice on review scoping, testing and reporting.
Most importantly, you’ll monitor and report on the completion of remedial actions and validate their closure.
You’ll have strong Compliance Monitoring experience within an investment management business, possessing a good working knowledge of investment products and ideally pensions as well. You’ll also need to have a good understanding of CASS rules as well as the wider regulatory environment.
Interested?
Click apply.
Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at We’ll pick it up from there.
Company: Leading Investment FinTech
Location: London
Workplace: Hybrid Working
Reference: 415142
To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to quoting reference 415142 .
Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.
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Compliance Monitoring Manager employer: Willow Resourcing
Contact Detail:
Willow Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Manager
✨Tip Number 1
Familiarize yourself with the specific compliance monitoring frameworks used in investment management. Understanding these frameworks will help you speak confidently about your experience and how it aligns with the company's needs.
✨Tip Number 2
Highlight your data analysis skills, especially in relation to customer outcomes and regulatory compliance. Be prepared to discuss examples of how you've used data to drive insights and improve compliance processes in your previous roles.
✨Tip Number 3
Stay updated on the latest CASS rules and regulatory changes that impact the investment management sector. This knowledge will demonstrate your commitment to compliance and your ability to adapt to evolving regulations.
✨Tip Number 4
Prepare to discuss your experience with remedial actions and how you've successfully monitored and validated their closure in past roles. This will show your proactive approach to compliance and your ability to drive results.
We think you need these skills to ace Compliance Monitoring Manager
Some tips for your application 🫡
Understand the Role: Make sure you fully understand the responsibilities of a Compliance Monitoring Manager. Highlight your experience in planning and executing compliance monitoring plans, as well as your knowledge of investment products and CASS rules.
Tailor Your CV: Customize your CV to reflect your relevant experience in compliance monitoring within an investment management business. Emphasize your data-led approach and any specific achievements related to customer outcomes and regulatory compliance.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your passion for compliance and your understanding of the regulatory environment. Mention why you are interested in this particular firm and how your skills align with their needs.
Follow Application Instructions: When submitting your application, ensure you follow the instructions carefully. Include your current remuneration details and reference the job correctly. Double-check for any errors before hitting send.
How to prepare for a job interview at Willow Resourcing
✨Understand the Compliance Monitoring Plan
Make sure you have a solid grasp of what a Compliance Monitoring Plan entails. Be prepared to discuss how you would approach planning and executing such a plan, and share examples from your past experience that demonstrate your expertise in this area.
✨Showcase Your Data-Driven Approach
Since the role emphasizes a data-led approach, come ready to discuss how you've used data to drive insights into customer outcomes and compliance effectiveness. Bring specific examples of metrics or data points you've analyzed in previous roles.
✨Familiarize Yourself with CASS Rules
Having a good understanding of CASS rules is crucial for this position. Brush up on these regulations and be prepared to explain how they impact compliance monitoring within investment management, as well as how you've applied them in your previous roles.
✨Prepare Questions About the Company Culture
Given the positive employee reviews, it’s important to show your interest in the company culture. Prepare thoughtful questions about team dynamics, work-life balance, and how the company supports compliance initiatives to demonstrate your genuine interest in becoming part of their team.
