At a Glance
- Tasks: Lead compliance for a major brokerage, ensuring regulatory standards and governance.
- Company: International brokerage with ambitious growth plans and a strong global presence.
- Benefits: Competitive salary up to £200,000 plus bonus, hybrid working, and career development.
- Other info: Diverse and inclusive workplace encouraging applicants from all backgrounds.
- Why this job: Shape the UK compliance framework and engage with senior executives in a dynamic environment.
- Qualifications: Experience in compliance, FCA knowledge, and strong communication skills required.
The predicted salary is between 150000 - 200000 £ per year.
London | Hybrid Working | 150,000 – 200,000 Base + BonusBarclay Simpson is partnering with an international brokerage to appoint a Head of Compliance (SMF16/17) for its UK entity.This is a senior FCA-facing leadership role within a globally established brokerage platform operating across multiple regulated jurisdictions.The UK entity forms part of a wider international organisation with significant global scale and ambitious long-term growth plans.This appointment is viewed as strategically important and will play a key role in strengthening the UK regulatory framework, enhancing governance standards and supporting the next phase of development for the business.The RoleReporting into Group Compliance leadership, the successful candidate will hold SMF16/17 responsibilities for the UK entity and act as the primary compliance contact for the FCA.The role will combine regulatory oversight, governance leadership and strategic advisory responsibilities within a fast-moving brokerage environment.Key responsibilities include:Leading the UK compliance function and holding SMF16/17 responsibilitiesManaging FCA engagement and regulatory communicationsStrengthening governance, compliance monitoring and reporting frameworksOverseeing CASS controls, reconciliations and regulatory reporting obligationsAdvising senior management and the Board on UK regulatory mattersSupporting business growth initiatives and future regulatory developmentsPartnering with global compliance and operational teams across jurisdictionsEnsuring robust compliance infrastructure within a scalable brokerage platformThis is a highly visible role offering direct interaction with senior executives and global stakeholders.Candidate ProfileWe are seeking an experienced compliance professional with strong FCA credibility and brokerage sector expertise.Key requirements include:Current or previous SMF16 and SMF17 approvalStrong knowledge of FCA Handbook, CASS and investment firm regulationExperience within a brokerage, broker-dealer or trading platform environmentStrong FCA relationship management experienceAbility to operate confidently in a fast-paced, commercially driven businessStrong communication and stakeholder management skillsPragmatic and solutions-oriented mindsetCandidates from institutional brokerage, multi-asset trading or professional client environments will be particularly relevant.Why Apply?Senior SMF leadership role within an international brokerageDirect exposure to executive leadership and strategic projectsOpportunity to shape and strengthen the UK compliance frameworkHybrid working environment based in Canary WharfCompetitive package up to 200,000 base plus bonusFor a confidential discussion regarding this opportunity, please contact NE@barclaysimpson.comWe seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
Head of Compliance Brokerage Job in London employer: Barclay Simpson Corporate Governance Recruitment
Barclay Simpson is an exceptional employer, offering a senior leadership role in compliance within a globally established brokerage based in the vibrant Canary Wharf area of London. With a strong commitment to employee growth and a hybrid working model, the company fosters a dynamic work culture that encourages innovation and collaboration, while providing competitive compensation packages and direct exposure to executive leadership. This role not only allows you to shape the UK compliance framework but also positions you at the forefront of strategic initiatives within a fast-paced environment, making it a truly rewarding opportunity for compliance professionals.
Contact Details:
Barclay Simpson Corporate Governance Recruitment Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance Brokerage Job in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Barclay Simpson Corporate Governance Recruitment looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance Brokerage Job in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Barclay Simpson Corporate Governance Recruitment. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Barclay Simpson Corporate Governance Recruitment
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Barclay Simpson Corporate Governance Recruitment’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
