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- Tasks: Lead compliance and financial crime functions in a dynamic financial services firm.
- Company: Join a high-growth financial services firm making waves in the industry.
- Benefits: Enjoy a competitive salary and the chance to shape compliance strategies.
- Why this job: Be a key player at the executive table, influencing major business decisions.
- Qualifications: Must be SMF16/17 approved or ready for approval with FCA regulations expertise.
- Other info: This role is fully on-site, perfect for those who thrive in a collaborative environment.
The predicted salary is between 72000 - 108000 £ per year.
A high-growth financial services firm is seeking a Head of Compliance (SMF16/17) to lead its compliance and financial crime functions. This is a senior leadership role with a key voice at the executive table. Role is fully on-site.
Key Responsibilities:
- Act as SMF16 and SMF17 with the FCA
- Own and enhance the compliance and AML frameworks
- Lead regulatory engagement and horizon scanning
- Oversee transaction reporting, client onboarding, and financial crime controls
- Advise on regulatory risk across new products and business initiatives
- Build a scalable, proportionate compliance function
Requirements:
- SMF16/17 approved (or ready for approval)
- Deep knowledge of FCA regulations (e.g. MAR, MiFID II, AML)
- Experience in high-growth, fast-paced environments
- Hands-on and commercially aware
Head of Compliance employer: AEJ Consulting Ltd
Contact Detail:
AEJ Consulting Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Familiarise yourself with the latest FCA regulations, especially those relevant to compliance and financial crime. This will not only help you in interviews but also demonstrate your commitment to staying updated in a fast-paced environment.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who have experience in high-growth financial services. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance frameworks or managed regulatory engagements in previous roles. Real-life scenarios can showcase your hands-on experience and commercial awareness.
✨Tip Number 4
Research our company culture and values at StudySmarter. Understanding what we stand for will help you align your responses during discussions and show that you're a great fit for our team.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities of the Head of Compliance position. Familiarise yourself with the key requirements such as SMF16/17 approval and knowledge of FCA regulations.
Tailor Your CV: Craft your CV to highlight relevant experience in compliance and financial crime functions. Emphasise your leadership roles and any specific achievements related to regulatory engagement and compliance frameworks.
Write a Compelling Cover Letter: In your cover letter, express your passion for compliance and your understanding of the financial services sector. Mention how your background aligns with the company's needs and your vision for enhancing their compliance function.
Showcase Relevant Experience: When detailing your work history, focus on experiences that demonstrate your ability to lead compliance initiatives in high-growth environments. Include examples of how you've successfully navigated regulatory challenges or improved compliance processes.
How to prepare for a job interview at AEJ Consulting Ltd
✨Showcase Your Regulatory Knowledge
Make sure to brush up on FCA regulations such as MAR, MiFID II, and AML. Be prepared to discuss how your knowledge can enhance the compliance framework and how you've applied this in previous roles.
✨Demonstrate Leadership Experience
As a senior leadership role, it's crucial to highlight your experience in leading teams and driving compliance initiatives. Share specific examples of how you've successfully managed compliance functions in high-growth environments.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past challenges you've faced and how you navigated them, particularly in relation to regulatory engagement and financial crime controls.
✨Emphasise Your Hands-On Approach
This role requires a hands-on attitude, so be ready to discuss how you balance strategic oversight with practical implementation. Share instances where your direct involvement made a significant impact on compliance outcomes.
