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- Tasks: Lead compliance and risk management for UK financial markets, ensuring adherence to regulations.
- Company: Austin Andrew is a London-based recruitment firm specializing in financial services.
- Benefits: Join a dynamic team with opportunities for professional growth and collaboration.
- Why this job: Make a real impact in financial compliance while working in a supportive environment.
- Qualifications: Experience in AML, KYC, and regulatory compliance within financial services is essential.
- Other info: Ideal for those who thrive in fast-paced, goal-oriented settings.
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 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.
- 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.
Established in 2006, Austin Andrew is a specialist recruitment firm based in London. Our experienced recruitment consultants are experts within their…
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Head of UK Compliance | London, UK | In-Office employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of UK Compliance | London, UK | In-Office
✨Tip Number 1
Familiarize yourself with the specific regulatory requirements for trading venues in the UK. Understanding the nuances of FCA regulations will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the financial services sector, especially those who have experience in AML and KYC processes. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Stay updated on the latest trends and changes in compliance regulations. Subscribing to relevant newsletters or joining professional groups can keep you informed and show your proactive approach to compliance.
✨Tip Number 4
Prepare to discuss real-world scenarios where you've successfully managed compliance issues or improved processes. Concrete examples will illustrate your expertise and problem-solving skills during the interview.
We think you need these skills to ace Head of UK Compliance | London, UK | In-Office
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the key responsibilities and requirements. Tailor your application to highlight your relevant experience in compliance, AML, KYC, and regulatory reporting.
Highlight Relevant Experience: In your CV and cover letter, emphasize your background in client onboarding and lifecycle management within financial services. Mention any specific experiences with FCA regulations and compliance programs.
Showcase Your Skills: Demonstrate your effective communication skills and ability to multitask in your application. Provide examples of how you've successfully managed high volumes of tasks while maintaining accuracy and attention to detail.
Personalize Your Cover Letter: Write a personalized cover letter that reflects your understanding of the company's mission and values. Explain why you are passionate about compliance and how you can contribute to their team.
How to prepare for a job interview at Austin Andrew
✨Understand Regulatory Requirements
Make sure you have a solid grasp of the regulatory requirements for trading venues, especially those relevant to FCA licensed firms. Be prepared to discuss how your experience aligns with these regulations and how you can ensure compliance.
✨Showcase Your AML and KYC Knowledge
Highlight your background in AML and KYC due diligence during the interview. Provide specific examples of how you've successfully managed client onboarding and lifecycle management in previous roles.
✨Demonstrate Multitasking Abilities
Since the role requires multitasking and prioritizing high volumes of tasks, be ready to share instances where you've effectively managed multiple responsibilities under tight deadlines. This will showcase your ability to handle the demands of the position.
✨Emphasize Collaboration Skills
The job involves working closely with various teams, so emphasize your collaborative approach. Discuss how you've partnered with product teams or sales in the past to enhance compliance procedures and improve client experiences.
