Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance efforts and ensure adherence to regulatory standards in a prestigious financial firm.
- Company: Renowned financial planning organisation with a strong reputation.
- Benefits: Competitive salary, career growth, and the chance to shape company direction.
- Why this job: Make a real impact on compliance and influence the future of a growing business.
- Qualifications: Experience in compliance management and knowledge of FCA regulations.
- Other info: Join a dynamic team and manage both internal staff and external consultants.
The predicted salary is between 48000 - 72000 £ per year.
We are currently recruiting for a highly regarded and prestigious financial planning organisation who are looking for a key hire in their business. They require a Compliance Manager to head up the Compliance Function and report directly into the board.
The key functions of this role are:
- Acting as the Group’s Money Laundering Reporting Officer and holding the CF11 controlled function.
- Preparation of the ICAAP and monitoring of financial resources.
- Preparation and implementation of a comprehensive compliance monitoring programme to monitor the Group’s adherence to the FCA rule book and guidance along with other regulatory matters such as data protection.
- Overseeing and monitoring client money and assets activities.
- Monitoring the Group’s appointed representatives.
- Overseeing the completion of GABRIEL reporting.
- Implementing the Group’s training and competence procedure and supervising adviser and discretionary managers in accordance with FCA’s training and competence requirements.
- Providing training to staff as required on anti-money laundering requirements, complaints and any other regulatory matters as required.
- Reviewing and approving the Group’s financial promotions.
- Drafting and reviewing compliance procedures and disclosure documents, processes and templates as required.
This is a key hire to the group and will involve key responsibilities in dealing with all regulatory requirements. There is a small internal team to manage as well as managing any and all external consultants employed by the firm. This is an excellent opportunity to join a prestigious, growing business and have a direct influence in its future direction.
Head of Compliance in London employer: Blakemore Recruitment
Contact Detail:
Blakemore Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial planning sector and let them know you're on the hunt for a Head of Compliance role. You never know who might have the inside scoop on openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance best practices. We recommend creating a cheat sheet of key points to discuss, so you can confidently showcase your expertise when it comes to compliance monitoring and regulatory matters.
✨Tip Number 3
Don’t just apply anywhere; focus on companies that align with your values and career goals. Use our website to find roles that excite you and match your skills, especially those that allow you to influence the future direction of a business.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Mention something specific from your conversation to show your genuine interest in the role and the company.
We think you need these skills to ace Head of Compliance in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience with compliance monitoring, regulatory requirements, and any relevant qualifications. We want to see how your background aligns with the key functions mentioned in the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention specific experiences that relate to acting as a Money Laundering Reporting Officer or preparing compliance procedures. Let us know what excites you about joining our team!
Showcase Your Leadership Skills: Since this role involves managing a small internal team and external consultants, make sure to highlight your leadership experience. Share examples of how you've successfully led teams or projects in the past, especially in compliance or regulatory settings.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it’s super easy to do!
How to prepare for a job interview at Blakemore Recruitment
✨Know Your Regulations
Make sure you brush up on the FCA rule book and any relevant compliance regulations. Being able to discuss these confidently will show that you're not just familiar with the rules, but that you can apply them effectively in a real-world context.
✨Showcase Your Leadership Skills
As the Head of Compliance, you'll be managing a small team and external consultants. Prepare examples of how you've successfully led teams in the past, particularly in high-pressure situations. This will demonstrate your capability to handle the responsibilities of the role.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical compliance scenarios. Think about how you would handle issues like breaches of compliance or training needs for staff. Practising these responses will help you articulate your thought process clearly during the interview.
✨Demonstrate Your Training Approach
Since part of the role involves providing training on anti-money laundering and other regulatory matters, be ready to discuss your approach to training and competence. Share specific strategies you've used to ensure staff are well-informed and compliant.
