At a Glance
- Tasks: Lead compliance strategy and manage relationships with regulators to ensure robust policies.
- Company: Dynamic financial services firm focused on compliance and regulatory excellence.
- Benefits: Competitive salary, leadership opportunities, and a chance to shape compliance frameworks.
- Other info: Join a high-performing team and drive strategic compliance initiatives.
- Why this job: Make a significant impact in the financial sector by ensuring compliance and managing regulatory risks.
- Qualifications: 10+ years in compliance, strong leadership, and excellent stakeholder management skills.
Reference: BH-127205Head of Compliance – Policy and Regulatory LiaisonYou will be responsible for ensuring the Compliance framework is robust and joined up, taking account of the wider risk, financial crime and broader group policies. You will take ownership of the Compliance policies, ensure they remain up to date and fit for purpose, with measurable controls in place. You will lead the annual Compliance effectiveness reporting requirements on behalf of the SMF16.In addition, you will oversee the regulatory change and horizon scanning activity in the second line, communicating with stakeholders across the business and beyond on key regulatory matters.
In this position you will provide strategic leadership and critical second-line engagement and oversight of the business to ensure compliance with key regulatory objectives.
Some Key ResponsibilitiesLead on the management of the relationship with the regulator, as a primary point of contactSupport the EXCO and Board with timely information and insights into the recent regulatory engagement, working with the wider Compliance team to deliver high-quality packs and pre-briefings to support meetings with the FCA.Create and lead the 2LoD capability to interpret proposed regulatory changes and support the business to develop appropriate strategic responses. Attend various governance committees and forum as the main compliance attendee, either as invitee or through delegation from the SMF16Ownership of the broader Compliance framework, taking a lead on how this fits within the wider Operational Risk framework and ensuring the Compliance framework remains coherent.
Build a high-performing team with clear accountabilities and service delivery standards.
Partner with business leaders to identify emerging regulatory risks and opportunities.
Act as a subject matter expert on regulatory developments and their broader strategic implications.
Experience10+ Years experience in Compliance rolesExcellent people leadership skills, with experience managing and developing a teamStrong track record of building and maintaining relationships with regulators, policymakers, industry bodies, and other external stakeholders.
Excellent knowledge of current and emerging regulatory issues impacting investment, wealth management, or broader financial services markets.
Exceptional stakeholder management skills with the ability to build credibility and influence at all levels of the organisation.
Confident communicator capable of constructively challenging and influencing stakeholders.
Head of Compliance - Policy and Regulatory Liaison in London employer: Broadgate Search
As a leading financial technology and information services business, we pride ourselves on fostering a dynamic work culture that encourages innovation and collaboration. Our employees benefit from comprehensive professional development opportunities, competitive compensation packages, and the chance to work with top-tier clients in the financial services sector. Located in a vibrant area, we offer a stimulating environment where your contributions directly impact our growth and success.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance - Policy and Regulatory Liaison 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 Broadgate Search looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance - Policy and Regulatory Liaison 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 Broadgate Search. 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 Broadgate Search
✨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 Broadgate Search’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
