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- Tasks: Lead compliance and AML teams, ensuring adherence to laws and regulations.
- Company: Join a rapidly growing financial services firm making waves in the industry.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth.
- Why this job: Be at the forefront of legal compliance, shaping policies that impact the business.
- Qualifications: Strong academic background and extensive experience in legal and compliance roles required.
- Other info: Act as the Money Laundering Reporting Officer and lead customer complaint resolutions.
The predicted salary is between 72000 - 108000 £ per year.
2 days ago Be among the first 25 applicants
Our client is a successful and rapidly growing financial services firm.
THE RESPONSIBILITIES:
- Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17.
- Ensure compliance with all relevant laws and regulations.
- Liaise with regulatory bodies.
- Ensure all regulatory filings and reports are accurate and submitted on time.
- Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities.
- Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm’s procedures and processes effectively.
- Draft and review key contracts, agreements, official responses to customer disputes and other legal documents.
- Stay abreast of legal developments and advise the business on potential impacts.
- Act as the Money Laundering Reporting Officer (MLRO) for the company.
- Develop and implement AML policies and procedures.
- Conduct AML risk assessments and ensure effective AML controls are in place.
- Report suspicious activities to the relevant authorities and maintain records of such reports.
- Provide AML training and guidance to staff.
- Lead the end-to-end customer complaints process, ensuring timely and effective resolution.
EXPERIENCE REQUIRED:
- Strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks.
- Current or recent experience as SMF16/SMF17.
- Extensive experience in legal, compliance, and AML roles, within the financial services space – ideally from a brokerage environment.
- Strong leadership and management skills.
- Excellent communication and interpersonal skills.
- First class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments.
Seniority level
Not Applicable
Employment type
Full-time
Job function
Finance
Industries
Financial Services and Securities and Commodity Exchanges
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Head of Legal and Compliance employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Legal and Compliance
✨Tip Number 1
Make sure to highlight your experience with compliance and AML in your conversations. Discuss specific instances where you've successfully led teams or implemented policies, as this will resonate well with our expectations for the Head of Legal and Compliance role.
✨Tip Number 2
Familiarize yourself with the latest regulatory changes in the financial services sector. Being able to discuss recent developments and their implications during interviews will demonstrate your proactive approach and deep understanding of the industry.
✨Tip Number 3
Prepare to showcase your leadership style and how you foster a culture of accountability within your teams. We value strong leadership skills, so think of examples that illustrate your ability to manage and motivate others effectively.
✨Tip Number 4
Network with professionals in the financial services and compliance sectors. Engaging with industry peers can provide valuable insights and potentially lead to referrals, which can significantly enhance your chances of landing the job with us.
We think you need these skills to ace Head of Legal and Compliance
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly understand the responsibilities of the Head of Legal and Compliance position. Highlight your experience in compliance, AML, and legal frameworks in your application.
Tailor Your CV: Customize your CV to reflect your relevant experience, especially focusing on your roles as SMF16/SMF17 and any leadership positions you've held in legal or compliance settings.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your passion for compliance and legal matters, your leadership skills, and how you can contribute to the company's success. Be specific about your achievements in previous roles.
Highlight Regulatory Knowledge: Emphasize your knowledge of regulatory requirements and your experience in liaising with regulatory bodies. Mention any specific laws or regulations you have worked with that are relevant to the financial services industry.
How to prepare for a job interview at Compliance Professionals
✨Showcase Your Leadership Skills
As a candidate for the Head of Legal and Compliance, it's crucial to demonstrate your leadership capabilities. Prepare examples from your past experiences where you successfully led teams, managed compliance projects, or implemented policies that drove accountability and excellence.
✨Understand Regulatory Frameworks
Familiarize yourself with the specific regulatory frameworks relevant to the financial services industry. Be ready to discuss how you've navigated complex regulations in previous roles and how you plan to ensure compliance within the company.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance and AML situations. Think through potential challenges you might face as SMF 16 and SMF 17 and how you would address them effectively.
✨Highlight Your Communication Skills
Excellent communication is key in this role. Be prepared to discuss how you've effectively communicated complex legal and compliance issues to various stakeholders. Use clear examples to illustrate your ability to articulate points and arguments coherently.
