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- Tasks: Lead compliance strategy and ensure adherence to regulatory requirements across the Group.
- Company: Join a dynamic organization committed to maintaining a strong compliance culture.
- Benefits: Enjoy competitive compensation, professional development opportunities, and a collaborative work environment.
- Why this job: Make a real impact by fostering compliance and mitigating risks in a fast-paced industry.
- Qualifications: Proven experience in compliance, leadership skills, and knowledge of financial regulations required.
- Other info: This role offers a unique blend of strategic oversight and hands-on management.
The predicted salary is between 72000 - 108000 £ per year.
Director of Compliance and MLRO – Summary of Responsibilities The Director of Compliance and MLRO ensures the Group adheres to regulatory requirements, including FCA Conduct Rules, ESMA guidelines, financial crime laws, and data protection regulations. This role supports the business while fostering a strong compliance culture across all levels. Key Responsibilities Compliance Oversight: Act as the Compliance Oversight Function (SMF16) for Group Companies, overseeing compliance strategy, implementation, and in-house controls to ensure adherence to FCA rules and related legislation. Develop and review compliance policies, including the Compliance Monitoring Plan, to identify and address operational risks and control weaknesses. Provide guidance to senior management on breaches, regulatory changes, and the development of compliant products and initiatives. Risk and Monitoring: Oversee monitoring of breaches and incidents, ensuring effective resolution and preventative actions. Lead compliance with the Consumer Duty, Conduct Risk priorities, and contingency planning to mitigate risks from outsourced suppliers or business continuity failures. Money Laundering Reporting Officer (SMF17): Ensure anti-money laundering (AML) procedures and controls align with regulatory expectations. Manage Suspicious Activity Reports, provide AML guidance and training, and maintain oversight of financial crime risks, including fraud and bribery. Leadership and Management: Lead and develop the compliance team, addressing recruitment, investigations, and grievances. Engage with the Board, senior management, and external parties (e.g., FCA, auditors) to maintain effective communication and compliance alignment. Regulatory and Industry Engagement: Maintain up-to-date knowledge of regulatory changes and industry trends, advising the business on necessary adaptations. Ensure adherence to data protection requirements in collaboration with in-house legal counsel. Additional Duties: Oversee insurance renewals, manage client complaints, and lead the relationship with appointed representatives. This role combines strategic leadership with hands-on compliance oversight, ensuring the Group operates within regulatory frameworks while maintaining operational excellence and a strong compliance culture.
Interim Head of Compliance (SMF16/17) employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Interim Head of Compliance (SMF16/17)
✨Tip Number 1
Familiarize yourself with the latest FCA Conduct Rules and ESMA guidelines. Understanding these regulations deeply will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience as a Compliance Oversight Function or MLRO. Engaging in discussions can provide insights into the role and may lead to valuable referrals.
✨Tip Number 3
Stay updated on current trends in financial crime laws and data protection regulations. Being knowledgeable about recent changes will show that you are proactive and ready to tackle compliance challenges.
✨Tip Number 4
Prepare to discuss your leadership style and how you would develop a compliance culture within the organization. Highlighting your management skills and experience in leading compliance teams will set you apart from other candidates.
We think you need these skills to ace Interim Head of Compliance (SMF16/17)
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly understand the responsibilities of the Interim Head of Compliance. Familiarize yourself with FCA Conduct Rules, ESMA guidelines, and financial crime laws to demonstrate your knowledge in your application.
Tailor Your CV: Customize your CV to highlight relevant experience in compliance oversight, risk management, and leadership. Use specific examples that showcase your ability to develop compliance policies and manage teams effectively.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your passion for compliance and your strategic vision for fostering a strong compliance culture. Mention how your previous experiences align with the key responsibilities listed in the job description.
Highlight Regulatory Knowledge: Emphasize your up-to-date knowledge of regulatory changes and industry trends in your application. This will show that you are proactive and capable of advising the business on necessary adaptations.
How to prepare for a job interview at Broadgate
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the FCA Conduct Rules, ESMA guidelines, and financial crime laws. Be prepared to discuss how these regulations impact compliance strategies and how you've navigated similar challenges in your previous roles.
✨Showcase Your Leadership Skills
As this role involves leading a compliance team, be ready to share examples of how you've successfully managed teams in the past. Highlight your approach to recruitment, training, and resolving grievances within your team.
✨Demonstrate Risk Management Expertise
Prepare to discuss your experience with risk monitoring and incident resolution. Provide specific examples of how you've identified operational risks and implemented effective controls to mitigate them.
✨Engage with Industry Trends
Stay updated on the latest regulatory changes and industry trends. Be ready to discuss how you've adapted compliance practices in response to these changes and how you plan to keep the organization aligned with evolving regulations.
