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- Tasks: Lead compliance and risk management for a dynamic financial services firm.
- Company: Join a client-focused company ensuring success in global financial markets.
- Benefits: Enjoy a collaborative environment with opportunities for professional growth.
- Why this job: Make an impact in compliance while working with diverse teams and enhancing client experiences.
- Qualifications: Experience in AML, KYC, and regulatory compliance is essential; FCA knowledge is a plus.
- Other info: Ideal for those who thrive in fast-paced environments and value integrity.
The predicted salary is between 72000 - 108000 £ per year.
My client’s activities help to ensure the success of the financial markets across global trading venues
You will be responsible for performing core compliance and non-financial risk management functions, including :
AML and KYC due diligence, regulatory reporting, reputation risk assessments, training, and internal policy reviews
The ideal candidate would have a background in client onboarding and lifecycle management for a financial services institution, and a working knowledge of the expectations for a licensed FCA investment firm. Experience with equity and equity-linked products and familiarity with industry standard terminology is a plus
Responsibilities
- Oversee and support UK regulatory compliance program:
- Assist in collecting initial and ongoing customer due diligence inputs
- Ensure adherence to firm policies and procedures, including proper document retention
- Support FCA registration initiative, including working with external counsel to source requisite information across various platforms
- Provide input into our firm policy framework, and work with stakeholders to identify gaps in existing policies and procedures
- Help ensure that identified risks are escalated to the appropriate personnel
- Provide support for Global compliance and regulatory risk mitigation initiatives
- Partner with Product teams to update compliance procedures when necessary
- Collaborate with Sales and offer subject matter expertise to enhance the overall client experience
Requirements
- In depth knowledge of regulatory requirements for trading venues
- Background and experience in AML and financial crime compliance
- Willingness to serve in an FCA controlled function capacity
- Background in core compliance functions / corporate governance / regulatory risk issues
- Positive attitude and willingness to wear lots of hats
- Ability to multitask and prioritize high volumes of tasks with urgency
- Display goal orientation while maintaining a high standard of accuracy and attention to detail
- Effective written and verbal communication skills
- Ability to serve as a professional liaison with local regulatory authorities
- Desire to work in a collaborative team environment
- Strong sense of independence and integrity
UK Head of Compliance employer: Austin Andrew Ltd
Contact Detail:
Austin Andrew Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land UK Head of Compliance
✨Tip Number 1
Familiarize yourself with the latest FCA regulations and compliance requirements. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the financial services sector, especially those who have experience with compliance roles. Engaging in conversations can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples from your past experiences that showcase your skills in AML, KYC, and regulatory compliance. Real-life scenarios can illustrate your problem-solving abilities and expertise.
✨Tip Number 4
Showcase your ability to work collaboratively by highlighting any past experiences where you partnered with different teams. This is crucial as the role requires working closely with Product and Sales teams.
We think you need these skills to ace UK Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance, AML, and KYC due diligence. Emphasize any relevant roles in financial services and your understanding of FCA regulations.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and how your background aligns with the responsibilities listed. Mention specific experiences that demonstrate your ability to manage compliance programs and work with regulatory authorities.
Highlight Relevant Skills: Clearly outline your skills related to regulatory compliance, risk management, and client onboarding. Use industry terminology to show your familiarity with the field and make your application stand out.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no grammatical errors and that your writing is clear and professional, reflecting your attention to detail.
How to prepare for a job interview at Austin Andrew Ltd
✨Show Your Regulatory Knowledge
Make sure to demonstrate your in-depth knowledge of regulatory requirements for trading venues during the interview. Be prepared to discuss specific regulations and how they impact compliance processes.
✨Highlight Your AML and KYC Experience
Since the role involves AML and KYC due diligence, share relevant experiences from your background in financial crime compliance. Provide examples of how you've successfully managed these processes in previous roles.
✨Emphasize Collaboration Skills
This position requires working closely with various teams, including Product and Sales. Highlight your ability to collaborate effectively and provide subject matter expertise to enhance client experiences.
✨Demonstrate Attention to Detail
Given the importance of accuracy in compliance roles, be ready to discuss how you maintain high standards of detail in your work. Share examples of how your attention to detail has positively impacted your previous organizations.
