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- Tasks: Lead the Compliance team and ensure regulatory requirements are met.
- Company: Join cer Financial, a specialist recruitment consultancy in the financial services sector.
- Benefits: Enjoy a hybrid work model and competitive salary starting at £100,000.
- Why this job: Be part of a dynamic team shaping compliance culture in a leading investment bank.
- Qualifications: Degree level education and 5+ years in Legal, Compliance or Regulatory roles required.
- Other info: Opportunity to influence compliance processes and drive positive change.
The predicted salary is between 60000 - 84000 £ per year.
CER Financial are working alongside an investment bank based in the City of London. They are seeking a Co-Head of Compliance and MLRO to work with them on a permanent basis.
The responsibilities of a Co-Head of Compliance and MLRO will include:
- Manage the Compliance team actively to support the development of a positive Compliance culture.
- Perform horizon scanning and support the effective implementation of new regulatory requirements that impact the business.
- Identify, recommend and implement areas for improvement and business process developments where appropriate.
- Responsibility for Control Effectiveness testing and submission of written reports / Management Information to the HoC.
- Discharge the duties of MLRO (SMF17).
- Horizon scanning of new regulatory developments and recommending changes required.
- Oversee the Market Surveillance activity as and when required.
- Responsible for ensuring that the Training & Competency program is carried out as stipulated by the HoC.
- Identifying gaps in compliance and recommending adjustments to policies, procedures and controls.
- Assisting HoC with the BWRA and MARA processes.
- Ensuring HR procedures are correctly supervised and adhered to.
- Risks are managed and measured through ensuring appropriate systems and controls.
- Ensure risks of a significant nature and impact are reported and escalated as appropriate.
- Maintain up to date understanding of regulatory requirements.
- Produce regular risk reports demonstrating that risks are being effectively managed.
- Audit results do not identify significant unmanaged risk or control weaknesses.
The successful Deputy Head of Compliance and MLRO will have:
- Degree level further education qualification.
- A minimum of 5 years of relevant experience within a Legal, Compliance or Regulatory function.
- Previous experience in a SMF16 and 17 function.
- Strong working knowledge of financial regulation, securities laws, directives and expectation areas.
CER Financial is a specialist Financial Services Recruitment consultancy.
Co-Head of Compliance and MLRO | London, UK | Hybrid employer: cer Financial
Contact Detail:
cer Financial Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Co-Head of Compliance and MLRO | London, UK | Hybrid
✨Tip Number 1
Network with professionals in the compliance and financial services sector. Attend industry events, webinars, or local meetups to connect with individuals who may have insights or connections to the role you're interested in.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends. Subscribe to relevant newsletters or follow key influencers in the compliance field to demonstrate your knowledge during interviews.
✨Tip Number 3
Prepare to discuss specific examples of how you've managed compliance teams or implemented regulatory changes in previous roles. This will showcase your hands-on experience and leadership skills.
✨Tip Number 4
Research cer Financial and their client’s values and culture. Tailor your conversations to align with their mission and demonstrate how your experience can contribute to their compliance objectives.
We think you need these skills to ace Co-Head of Compliance and MLRO | London, UK | Hybrid
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and regulatory functions. Emphasise your previous roles, particularly those involving SMF16 and 17 responsibilities, and showcase your understanding of financial regulations.
Craft a Compelling Cover Letter: Write a cover letter that specifically addresses the requirements listed in the job description. Mention your experience in managing compliance teams and your ability to implement regulatory changes effectively.
Highlight Relevant Qualifications: In your application, clearly state your degree level qualifications and any additional certifications related to compliance or financial regulation. This will help demonstrate your suitability for the role.
Showcase Your Achievements: Include specific examples of how you have previously identified compliance gaps and implemented improvements. Quantify your achievements where possible, such as reductions in risk or successful audits.
How to prepare for a job interview at cer Financial
✨Showcase Your Regulatory Knowledge
Make sure to brush up on the latest financial regulations and compliance requirements relevant to the role. Demonstrating a strong understanding of these areas will show that you're not only qualified but also proactive in staying informed.
✨Highlight Leadership Experience
As a Co-Head of Compliance, you'll need to manage a team effectively. Be prepared to discuss your previous leadership roles, how you fostered a positive compliance culture, and any specific examples of team development or conflict resolution.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past experiences where you identified compliance gaps or implemented improvements, and be ready to explain your thought process and outcomes.
✨Demonstrate Your Analytical Skills
The role involves risk management and control effectiveness testing. Be prepared to discuss how you've previously analysed compliance data, produced reports, and made recommendations based on your findings. This will highlight your analytical capabilities and attention to detail.
