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For Companies At a Glance
- Tasks: Lead compliance efforts and ensure regulatory adherence in a dynamic financial environment.
- Company: Join Britannia Global Investments, a key player in the Britannia Financial Group.
- Benefits: Enjoy a full-time role in London with potential for career growth and development.
- Why this job: Be at the forefront of compliance, shaping the future of financial regulations while collaborating with senior management.
- Qualifications: 10+ years in financial services with strong FCA regulation knowledge and experience with regulators.
- Other info: This role offers a chance to influence compliance strategies and work with diverse stakeholders.
The predicted salary is between 72000 - 108000 £ per year.
Application Deadline 27th June at 12:00
Britannia Global Investments, one of the companies in the Britannia Financial Group, is looking for a Head of Compliance. The candidate will be based full time in our head office in the City of London (EC3) and will be reporting to the Chief Executive Officer.
The Head of Compliance will be tasked with supporting the senior management to ensure an effective control and compliance with all regulatory aspects relating to Britannia’s business. The candidate will be expected to, in due course, hold both SMF 16.
The main duties and responsibilities of the position include, but are not limited to, the following:
- Establish and maintain a constructive and open dialogue with the FCA and any other appropriate authorities and to ensure that any regulatory reports, including RegData returns, or enquiries are handled appropriately and promptly.
- Review and update the regulatory compliance framework, including the company’s Manuals, Policies and Procedures, in response to changes internally and externally.
- Prepare the appropriate reports for the Board demonstrating the effectiveness of the regulatory compliance framework.
- Ensure that the General Counsel and the senior management are kept fully informed of all regulatory matters and also that any such developments are included within the compliance and risk framework.
- Provide guidance and advice on regulatory matters across the business.
- Oversee the review and development of existing products and services.
- Work across the company business lines engaging with a degree of pragmatic collaboration to find compliant solutions to business problems.
- Develop and maintain effective relationships with various stakeholders across the business.
- Manage the Compliance team and provide oversight and support to the Back Office team.
Experience/Skills required:
- 10+ years’ similar experience gained within Financial Services, within wholesale brokerage and with particular experience of various of the company’s products.
- Excellent understanding of FCA Regulation, particularly COBS and CASS, and associated legislation, such as FSMA and MiFID II.
- Thorough knowledge of UK and European FS regulation.
- Previous holder of CF10 and/or SMF 16.
- Extensive experience of dealing with regulators and other external bodies.
- Commercially minded.
Head of Compliance employer: Britannia Financial Group Limited
Contact Detail:
Britannia Financial Group Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events, webinars, or local meetups to connect with individuals who may have insights into the role or the company. Building these relationships can provide you with valuable information and potentially a referral.
✨Tip Number 2
Stay updated on the latest FCA regulations and compliance trends. Subscribe to relevant newsletters, follow regulatory bodies on social media, and engage with thought leaders in the field. This knowledge will not only prepare you for interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully navigated compliance challenges in your previous roles. Think about situations where you improved compliance frameworks or effectively communicated with regulators, as these experiences will be crucial during discussions.
✨Tip Number 4
Research Britannia Global Investments thoroughly. Understand their business model, products, and any recent news or changes in their operations. Tailoring your conversation to reflect your understanding of their specific compliance needs will show that you're genuinely interested in the position.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance and financial services. Focus on your 10+ years of experience, particularly in wholesale brokerage, and emphasise your understanding of FCA regulations.
Craft a Strong Cover Letter: In your cover letter, address how your skills align with the responsibilities of the Head of Compliance role. Mention your experience with regulatory frameworks and your ability to maintain relationships with stakeholders.
Showcase Leadership Skills: Since this role involves managing a team, be sure to include examples of your leadership experience. Highlight any previous roles where you successfully led a compliance team or collaborated across business lines.
Proofread Your Application: Before submitting, carefully proofread your application for any errors. A polished application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Britannia Financial Group Limited
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations, especially COBS and CASS. Brush up on FSMA and MiFID II as well, as these will likely come up during your interview.
✨Demonstrate Leadership Skills
As the Head of Compliance, you'll be managing a team. Be prepared to discuss your leadership style and provide examples of how you've successfully led teams in the past, particularly in high-pressure situations.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills. Think about how you would handle specific compliance challenges or regulatory changes and be ready to articulate your thought process.
✨Showcase Stakeholder Engagement
Highlight your experience in building relationships with various stakeholders. Be ready to share examples of how you've collaborated across departments to achieve compliance goals and find solutions to business problems.
