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- Tasks: Lead compliance efforts, manage conflicts, and ensure adherence to regulations.
- Company: Join a top 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 the business.
- Qualifications: Strong knowledge of FCA regulations and experience in compliance roles are essential.
- Other info: Ideal for proactive individuals who thrive in fast-paced environments.
The predicted salary is between 72000 - 108000 £ 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 financial institutions. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in compliance.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations, particularly COBS and SYSC. Being well-versed in these areas will not only boost your confidence but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully managed conflicts of interest or employee compliance issues. Having concrete examples ready will showcase your expertise and problem-solving skills during interviews.
✨Tip Number 4
Research the company’s culture and values, as well as their approach to compliance. Tailoring your discussions to align with their ethos will help you stand out as a candidate who is not only qualified but also a good fit for their team.
We think you need these skills to ace Employee Compliance VP
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, particularly with FCA regulations and employee conduct. Use specific examples that demonstrate your expertise in conflicts management and stakeholder engagement.
Craft a Compelling Cover Letter: Your cover letter should reflect your understanding of the role and the company. Discuss your previous experiences in compliance and how they align with the responsibilities outlined in the job description. Show enthusiasm for the opportunity to influence at senior levels.
Highlight Relevant Skills: In your application, emphasise your strong interpersonal skills and ability to manage multiple priorities. Provide examples of how you've successfully navigated complex regulatory environments and delivered training or policy reviews.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects your attention to detail, which is crucial in compliance roles. Consider asking a colleague to review your documents for additional feedback.
How to prepare for a job interview at Jacobson Garner
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations, especially COBS and SYSC. Be prepared to discuss how these regulations impact employee conduct and conflicts management in your previous roles.
✨Showcase Your Stakeholder Management Skills
Prepare examples that demonstrate your ability to manage relationships with various stakeholders, including front-office teams and HR. Highlight instances where your interpersonal skills made a significant difference in compliance outcomes.
✨Demonstrate Proactivity
Be ready to discuss how you've taken initiative in previous roles, whether it’s leading policy reviews or developing training programmes. Employers are looking for someone who can drive compliance forward rather than just react to issues.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving abilities in compliance situations. Think about potential conflicts of interest or regulatory challenges you’ve faced and how you resolved them effectively.
