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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 opportunities for professional growth.
- Why this job: Make a real impact on compliance while collaborating with senior management and regulators.
- Qualifications: 10+ years in financial services with strong FCA regulation knowledge required.
- Other info: Ideal for those seeking to shape compliance strategies in a fast-paced industry.
The predicted salary is between 48000 - 72000 £ per year.
Application deadline 12:00 on 27th June. 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 - Britannia Global Markets Limited employer: Britannia Global Markets Limited
Contact Detail:
Britannia Global Markets Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - Britannia Global Markets Limited
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience with FCA regulations. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in compliance.
✨Tip Number 2
Familiarise yourself with Britannia Global Investments' business model and products. Understanding their specific compliance challenges will help you demonstrate your knowledge and how you can add value to their team during interviews.
✨Tip Number 3
Prepare to discuss your previous experiences dealing with regulators and how you've successfully navigated compliance issues. Be ready to provide examples that showcase your problem-solving skills and ability to maintain effective relationships with stakeholders.
✨Tip Number 4
Stay updated on recent changes in UK and European financial regulations. Being knowledgeable about current compliance issues will not only impress your interviewers but also show your commitment to the role and the industry.
We think you need these skills to ace Head of Compliance - Britannia Global Markets Limited
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and regulatory matters, particularly within financial services. Use specific examples that demonstrate your understanding of FCA regulations and your ability to manage compliance frameworks.
Craft a Strong Cover Letter: Your cover letter should clearly express your interest in the Head of Compliance position. Discuss your 10+ years of experience and how it aligns with the responsibilities outlined in the job description. Be sure to mention any previous roles where you held CF10 or SMF 16.
Showcase Your Skills: In your application, emphasise your skills in stakeholder management and collaboration across business lines. Provide examples of how you've successfully navigated regulatory challenges and developed compliant solutions in past roles.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical 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 Global Markets 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.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills. Think about how you would handle compliance issues or regulatory changes and be ready to share your thought process.
✨Showcase Stakeholder Engagement
Highlight your experience in building relationships with stakeholders. Be ready to discuss how you've collaborated across business lines to find compliant solutions to complex problems.
