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- Tasks: Lead compliance efforts, ensuring adherence to FCA regulations and ethical practices.
- Company: Join a dynamic London-based financial services institution making waves in the industry.
- Benefits: Enjoy hybrid work options and a supportive corporate culture.
- Why this job: Be a key player in safeguarding the company's reputation while shaping compliance strategies.
- Qualifications: Experience in compliance within financial services and a relevant degree required.
- Other info: Immediate availability is essential for this critical role.
The predicted salary is between 72000 - 108000 £ per year.
Consultant – Acting Head of Compliance (SMF 16/17)
Key consulting role in a London-based financial services institution. The Head of Compliance will oversee and manage the UK compliance function, ensuring adherence to FCA regulations and other applicable laws. This role is critical in safeguarding the company\’s reputation and operational integrity, providing strategic leadership on compliance matters, and fostering a culture of ethical business practices.
- Liaise and report to relevant regulatory bodies as required by applicable regulations.
- Act as an adviser to the company\’s Board of Directors and Senior Management on compliance issues.
- Maintain an up-to-date understanding of relevant business practices and regulation application.
- Ensure local operations comply with relevant regulations and documentation is maintained.
- Train staff on regulatory requirements and ensure compliance with training regimes.
- Advise staff on regulatory issues as needed.
- Conduct regular monitoring to ensure compliance with rules and regulations, including client due diligence procedures.
- Address and resolve compliance issues.
- Investigate compliance concerns as required.
- Assess the company\’s compliance status and report to senior management and the Board periodically.
Requirements:
- Experience in a similar compliance role within financial services, preferably FinTech.
- Deep knowledge of FCA regulations and UK financial laws.
- Experience developing and implementing compliance programs.
- Strong analytical, problem-solving, and communication skills.
- High ethical standards and professionalism.
- Leadership and team management skills.
- Bachelor’s degree in Law, Finance, Business Administration, or related field.
- Previous SMF16/SMF17 role.
Urgently seeking immediate availability only.
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Head of Compliance (SMF 16/17) | London, UK | Hybrid employer: Non-disclosed
Contact Detail:
Non-disclosed Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance (SMF 16/17) | London, UK | Hybrid
✨Tip Number 1
Network with professionals in the financial services sector, especially those who have experience in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in FCA regulations.
✨Tip Number 2
Stay updated on recent changes in FCA regulations and UK financial laws. Subscribe to relevant newsletters or follow regulatory bodies on social media to ensure you have the most current information, which will be crucial during interviews.
✨Tip Number 3
Prepare to discuss your previous experiences in developing and implementing compliance programmes. Be ready to provide specific examples of how you've successfully navigated compliance challenges in past roles, particularly in FinTech.
✨Tip Number 4
Demonstrate your leadership skills by sharing instances where you've trained staff on regulatory requirements or led a team through compliance audits. Highlighting these experiences will show your capability to manage compliance functions effectively.
We think you need these skills to ace Head of Compliance (SMF 16/17) | London, UK | Hybrid
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance roles, particularly within financial services or FinTech. Emphasise your knowledge of FCA regulations and any previous SMF16/SMF17 roles you've held.
Craft a Compelling Cover Letter: In your cover letter, clearly articulate your understanding of the compliance landscape in the UK. Discuss how your leadership skills and ethical standards align with the company's values and the importance of compliance in safeguarding its reputation.
Showcase Relevant Experience: Provide specific examples of how you've developed and implemented compliance programmes in past roles. Highlight any training initiatives you've led and how you've addressed compliance issues effectively.
Demonstrate Analytical Skills: In your application, mention instances where your analytical and problem-solving skills have been crucial in assessing compliance status or resolving compliance concerns. This will show your capability to handle the responsibilities of the role.
How to prepare for a job interview at Non-disclosed
✨Showcase Your Compliance Knowledge
Make sure to demonstrate your deep understanding of FCA regulations and UK financial laws during the interview. Prepare specific examples of how you've successfully navigated compliance challenges in previous roles, as this will highlight your expertise and suitability for the position.
✨Emphasise Leadership Experience
As a Head of Compliance, you'll need strong leadership skills. Be ready to discuss your experience in managing teams and developing compliance programmes. Share instances where you have trained staff or led initiatives that improved compliance culture within an organisation.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities. Think about potential compliance issues that could arise in the financial services sector and how you would address them. This will show your analytical skills and readiness to tackle real-world challenges.
✨Demonstrate Ethical Standards
Given the importance of ethics in compliance, be prepared to discuss your personal ethical standards and how they align with the company's values. Share examples of how you've upheld high ethical standards in your previous roles, especially when faced with difficult decisions.
