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- Tasks: Lead compliance efforts, manage risk frameworks, and ensure regulatory adherence.
- Company: Join a rapidly growing SME in Poole, making waves in the financial services sector.
- Benefits: Enjoy a collaborative culture, leadership opportunities, and a chance to shape compliance strategies.
- Why this job: Be a key player in a dynamic team, influencing company success and driving compliance excellence.
- Qualifications: Senior compliance experience in financial services and strong leadership skills required.
- Other info: Office presence is expected 4 days a week; great for those who thrive in a team environment.
The predicted salary is between 48000 - 72000 £ per year.
Chilworth Partnership are exclusively supporting an industry leading SME, based in Poole, in their search for a Head of Compliance. This role will lead and manage all aspects of the compliance function and ensure the business adheres to all regulatory requirements, internal policies, and industry best practices. Reporting to the c-suite, this newly created role will be responsible for:
- Oversee the Enterprise Risk Management Framework, including the Risk Appetite Statement (RAS) and Risk Register.
- Serve as the appointed Compliance Officer and MLRO, supporting the operational teams in owning and adhering to 1st line compliance controls.
- Advise the Board and senior management on compliance obligations and emerging regulatory risks.
- Lead compliance monitoring activities and undertake regular risk assessments, including effectiveness of controls.
- Manage all regulatory reporting and serve as the primary point of contact with regulatory bodies.
- Investigate and manage any compliance breaches, customer complaints or whistleblowing reports.
- Oversee financial crime prevention measures, including AML and fraud controls.
- Lead on preparing for and managing external audits or inspections.
- Contribute as a key member of the Senior Leadership Team and the Chair of the Risk Committee, providing strategic insights to drive company success.
- Lead, manage, and develop the internal compliance team, promoting a collaborative and high-performance culture.
Requirements:
- Experience in a senior compliance role within financial services.
- Strong leadership and team management skills, with ability to nurture and develop.
- ICA, CISI, or similar compliance or AML qualifications (desirable).
- Strong working knowledge of UK regulatory requirements.
- Experience in dealing with regulatory bodies.
- Ability to interpret complex regulations and apply them in a commercial and pragmatic way.
- Excellent stakeholder management skills, with ability to influence and challenge c-suite stakeholders.
This is an excellent opportunity to join an organisation who have experienced rapid growth in recent years, playing a critical role in defining and leading the compliance function in the short, medium and long term. There will be an expectation to be in the office 4 days a week.
Head of Compliance employer: Venture Recruitment Partners
Contact Detail:
Venture Recruitment Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in financial services. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with the specific regulatory requirements relevant to the role. Research the UK regulations that impact the financial services sector and be prepared to discuss how you would apply them in a practical context during interviews.
✨Tip Number 3
Demonstrate your leadership skills by sharing examples of how you've successfully managed teams in previous roles. Highlight your ability to nurture talent and foster a collaborative environment, as this is crucial for the Head of Compliance position.
✨Tip Number 4
Prepare to discuss your experience with regulatory bodies and how you've handled compliance breaches or audits in the past. Being able to articulate your approach to these situations will show your capability to manage the responsibilities of this role effectively.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance roles, particularly within financial services. Emphasise your leadership skills and any relevant qualifications like ICA or CISI.
Craft a Compelling Cover Letter: In your cover letter, address how your background aligns with the responsibilities of the Head of Compliance role. Mention specific examples of how you've managed compliance functions and dealt with regulatory bodies.
Showcase Stakeholder Management Skills: Demonstrate your ability to influence and challenge c-suite stakeholders in your application. Provide examples of past experiences where you successfully navigated complex regulatory environments.
Highlight Risk Management Experience: Since the role involves overseeing the Enterprise Risk Management Framework, include details about your experience with risk assessments and compliance monitoring activities in your application.
How to prepare for a job interview at Venture Recruitment Partners
✨Understand the Regulatory Landscape
Familiarise yourself with the latest UK regulatory requirements relevant to the financial services sector. Be prepared to discuss how these regulations impact the business and demonstrate your ability to interpret and apply them effectively.
✨Showcase Leadership Skills
As a Head of Compliance, strong leadership is crucial. Prepare examples of how you've successfully led teams in the past, focusing on your ability to nurture talent and promote a high-performance culture within compliance functions.
✨Prepare for Stakeholder Engagement
Think about how you would engage with c-suite stakeholders and other key players in the organisation. Be ready to discuss strategies for influencing and challenging decisions while maintaining strong relationships.
✨Demonstrate Problem-Solving Abilities
Be prepared to discuss specific instances where you've managed compliance breaches or customer complaints. Highlight your approach to investigating issues and implementing effective solutions, showcasing your analytical and strategic thinking skills.
