At a Glance
- Tasks: Lead compliance governance and ensure regulatory adherence for a major financial services firm.
- Company: Join a leading wealth and investment platform with a strong commitment to compliance.
- Benefits: Competitive salary, leadership role, and the chance to shape compliance strategy.
- Other info: Opportunity to work closely with the FCA and influence key business decisions.
- Why this job: Make a significant impact on regulatory compliance in a dynamic financial environment.
- Qualifications: Extensive experience in financial services regulation and senior-level compliance roles.
We're partnering with our client to appoint a Chief Compliance Officer (SMF16 – Compliance Oversight) for its UK entity. This is an FCA-approved Senior Manager Function with independent responsibility for the adequacy and effectiveness of the firm's compliance governance, systems and controls, reporting directly and without restriction to the UK Board and Board Risk & Compliance Committee.
Sitting within the independent second line and reporting to the Chief Risk Officer, you'll be the firm's primary compliance contact with the FCA — leading supervisory engagement, embedding the global risk and compliance framework across the region, and ensuring the Board receives clear, candid insight into regulatory risk. You'll be involved in all material decisions affecting compliance risk, from new product and client transitions through to platform transformation, outsourcing and operational change.
Own the design and effectiveness of the UK regulatory compliance framework, ensuring it meets FCA requirements and local regulatory expectations across the end-to-end delivery model.
Provide independent reporting and escalation to the UK Board and Board Risk & Compliance Committee on all regulatory compliance risks, breaches and areas of concern, delivering high-quality MI within a "no surprises" culture.
Act as the firm's primary point of contact with the FCA, leading transparent, proactive supervisory engagement and overseeing all regulatory responses and communications.
Ensure compliance with core regulatory obligations including SYSC, COCON, SM&CR, Operational Resilience, Consumer Duty, CASS (where applicable) and relevant prudential requirements.
Oversee the compliance monitoring programme, the regional risk and control framework, and the effective implementation of global policies and standards, ensuring issues are remediated on time.
Provide compliance oversight into deal teams, strategic initiatives, technology change and operational transformation through risk assessment and review.
Oversee regulatory breach assessments, investigations, remediation and reporting, and conduct second-line assurance over first-line regulatory processes.
Lead the regional compliance function, promoting a strong culture of risk awareness, regulatory adherence and ethical conduct.
Deep, demonstrable knowledge of UK financial services regulation and regulatory frameworks.
Extensive senior-level experience within a regulated financial services environment, with a strong grasp of risk management, compliance frameworks, control design and monitoring.
Proven experience interacting with the FCA and attending Board or Board-level risk committees.
Head of Policy & Regulatory Affairs in London employer: Broadgate
As a leading fintech in the cross-border payments sector, we pride ourselves on fostering a dynamic and innovative work environment where compliance is viewed as a vital component of our infrastructure. Our London-based team enjoys a hybrid working model, competitive salary packages, and equity options, alongside opportunities for professional growth and direct collaboration with senior leadership. Join us to make a meaningful impact in a role that empowers you to shape compliance strategies across multiple jurisdictions.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Policy & Regulatory Affairs in London
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
✨Connect on Professional Platforms
Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like Broadgate. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace Head of Policy & Regulatory Affairs in London
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to Broadgate.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on Broadgate's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at Broadgate
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with Broadgate.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at Broadgate will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former Broadgate employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
