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For Companies At a Glance
- Tasks: Lead compliance efforts, manage conflicts, and ensure adherence to regulations.
- Company: Join a leading global financial institution with a strong reputation in the industry.
- Benefits: Enjoy competitive pay, professional development opportunities, and a collaborative work culture.
- Why this job: Be a key player in shaping compliance policies and making a real impact on employee conduct.
- Qualifications: Strong knowledge of FCA regulations and proven experience in compliance roles required.
- Other info: Ideal for proactive individuals who thrive in fast-paced environments and enjoy influencing senior stakeholders.
The predicted salary is between 48000 - 72000 £ per year.
An exciting opportunity has arisen at a leading global financial institution for a dynamic and experienced Compliance Officer at VP level. This critical hire will sit within the central compliance team and take ownership of key compliance areas including employee conduct, conflicts of interest, and COBS obligations.
As a senior compliance professional, you will act as a trusted advisor to the business and provide subject matter expertise on personal account dealing, outside business interests, gifts & entertainment, and conflicts management. You’ll work closely with front-office teams, HR, legal and global compliance colleagues to ensure robust policies, training, and oversight frameworks are in place and aligned with FCA regulations and internal risk appetite.
A core part of the role will involve managing the firm’s conflicts register, reviewing new business proposals for potential conflicts, and ensuring adherence to COBS-related requirements such as suitability, inducements, and client communications. You will also lead on policy reviews, deliver targeted employee training, and respond to regulatory developments and internal audits.
This is a fantastic opportunity for a proactive and collaborative compliance professional with strong regulatory knowledge, excellent interpersonal skills, and the confidence to influence at senior levels.
Key Requirements:- Strong working knowledge of FCA regulations, particularly COBS and SYSC
- Proven experience in employee compliance and conflicts management
- Previous experience in a buy-side, investment bank, or global financial services firm
- Excellent stakeholder management and written communication skills
- Ability to manage multiple priorities in a fast-paced environment
Employee Compliance VP employer: Jacobson Garner
Contact Detail:
Jacobson Garner Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Employee Compliance VP
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in FCA regulations and employee compliance. 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 compliance frameworks and policies of leading financial institutions. Understanding how different firms approach employee conduct and conflicts management can give you valuable insights that you can discuss during interviews.
✨Tip Number 3
Prepare to demonstrate your stakeholder management skills by thinking of examples where you've successfully influenced senior leaders or collaborated with cross-functional teams. This will show that you can effectively navigate complex organisational structures.
✨Tip Number 4
Stay updated on recent regulatory developments related to COBS and SYSC. Being able to discuss current events and their implications for compliance will showcase your proactive approach and deep understanding of the regulatory landscape.
We think you need these skills to ace Employee Compliance VP
Some tips for your application 🫡
Understand the Role: Thoroughly read the job description for the VP – Compliance Officer position. Make sure you understand the key responsibilities and requirements, especially regarding FCA regulations and employee compliance.
Tailor Your CV: Customise your CV to highlight relevant experience in compliance, particularly in areas like conflicts management and COBS obligations. Use specific examples that demonstrate your expertise and achievements in these areas.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of the compliance landscape and your ability to influence at senior levels. Mention your proactive approach and collaborative skills, and how they align with the company's needs.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no grammatical errors or typos, as attention to detail is crucial in compliance roles.
How to prepare for a job interview at Jacobson Garner
✨Demonstrate Regulatory Knowledge
Make sure to brush up on FCA regulations, especially COBS and SYSC. Be prepared to discuss how these regulations impact employee compliance and conflicts management, as this will show your expertise and understanding of the role.
✨Showcase Stakeholder Management Skills
Prepare examples of how you've effectively managed relationships with various stakeholders in previous roles. Highlight your interpersonal skills and ability to influence at senior levels, as this is crucial for the position.
✨Discuss Conflict Management Experience
Be ready to talk about your experience with managing conflicts of interest and maintaining a conflicts register. Provide specific examples of how you've navigated complex situations and ensured compliance with regulations.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance-related situations. Think through potential challenges you might face in the role and how you would address them, demonstrating your proactive approach.
