At a Glance
- 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.
- Other info: Flexible office locations and opportunities for personal development.
- Why this job: Shape a new role in a growing firm while making a real impact on compliance.
- Qualifications: Experience in Compliance and Investment Management, with strong regulatory knowledge.
The predicted salary is between 36000 - 60000 £ 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 employer: Willow Resourcing
As an ambitious investment management firm, we pride ourselves on offering a flexible work environment that allows you to balance your professional and personal life with just one day a week in the office. Our culture fosters growth and innovation, providing you with the opportunity to shape your role while learning from a highly respected Head of Compliance, all within our welcoming offices located in Bath, London, Salisbury, and Tiverton.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Officer – Investment Management
✨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 how you can contribute to the team’s success.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, shoot a quick thank-you email to express your appreciation for the opportunity. It shows your enthusiasm and keeps you fresh in their minds.
✨Tip Number 4
Apply through our website! It’s the easiest way to ensure your application gets seen. Plus, it shows you’re serious about joining the team. Let’s get you that Compliance Monitoring Officer position!
We think you need these skills to ace Compliance Monitoring Officer – Investment Management
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, 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 to ensure your application gets into the right hands quickly. Plus, it shows you’re keen on joining our team!
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 readiness for the position.
✨Prepare for Scenario Questions
Expect questions that ask you to demonstrate your problem-solving skills in compliance monitoring. Think of examples from your past experience where you identified issues and implemented solutions, as this will highlight your practical knowledge and analytical skills.
✨Engage with the Interviewers
Show genuine interest in the company and the role by asking insightful questions about their compliance processes and challenges. This not only demonstrates your enthusiasm but also helps you understand how you can contribute effectively.
✨Highlight Your Reporting Skills
Since producing high-quality reports is a key part of the job, be prepared to discuss your experience in writing reports for senior management. Bring examples if possible, and explain how your reports have influenced decision-making in previous roles.
