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For Companies At a Glance
- Tasks: Support compliance operations and monitor trades in a dynamic brokerage environment.
- Company: Join a growing Institutional Brokerage firm with a focus on compliance excellence.
- Benefits: Enjoy a structured development plan and secure your future leadership role.
- Why this job: Be part of a vital team shaping regulatory practices and enhancing industry standards.
- Qualifications: 5+ years in compliance, preferably in financial services; knowledge of commodity derivatives is a plus.
- Other info: This role requires full-time office presence and offers a clear path to team leadership.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
We are exclusively recruiting for growing Institutional Brokerage firm looking to hire a Deputy Head of Compliance to assist with the day to day running of a busy compliance function. This role will be based in the office 5 days a week and there is a development/succession plan in place to take over running the team in the future.
Main Responsibilities
- Trade monitoring to support compliance with the firm’s regulatory monitoring requirements
- Assist with the implementation of the new communications monitoring system
- Regulatory horizon scanning for changes that impact the business, including both Regulatory & Exchange enquires
- Updating regulatory policies and procedures when necessary
- Assisting with the implementation of the firm’s training plan
- Conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements
Job Requirements:
- At least 5 years compliance experience in Financial Services, preferably from within a similar institutional brokerage environment
- A working knowledge/understanding of commodity derivative products
- An understanding of Block Trading
- Knowledge of ICE and CME rules are advantageous
Unless otherwise stated, candidates must have the right to work in the UK.
The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.
Please view all our other Live Jobs on our website www.CLARCrecruitment.com
Exclusive - Deputy Head of Compliance employer: CLARC Recruitment
Contact Detail:
CLARC Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Exclusive - Deputy Head of Compliance
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends, which can give you an edge in interviews.
✨Tip Number 2
Familiarise yourself with the specific regulatory frameworks relevant to the role, such as SM&CR and the rules of ICE and CME. This knowledge will not only boost your confidence but also demonstrate your commitment to the position during discussions.
✨Tip Number 3
Prepare to discuss your experience with trade monitoring and compliance systems. Be ready to share specific examples of how you've successfully implemented compliance measures in previous roles, as this will highlight your suitability for the Deputy Head of Compliance position.
✨Tip Number 4
Research the company’s culture and values. Understanding their approach to compliance and how they align with your own values can help you articulate why you're a great fit for the team during the interview process.
We think you need these skills to ace Exclusive - Deputy Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience in Financial Services, especially within institutional brokerage. Emphasise relevant skills such as trade monitoring and regulatory knowledge.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the responsibilities mentioned in the job description. Discuss your experience with regulatory policies and procedures, and how you can contribute to the firm's compliance function.
Highlight Relevant Experience: In your application, focus on your understanding of commodity derivative products and any experience with Block Trading. Mention any familiarity with ICE and CME rules, as these are advantageous for the role.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or typos. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at CLARC Recruitment
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the regulatory landscape, especially in relation to UK and US compliance requirements. Familiarise yourself with the SM&CR and any relevant rules from ICE and CME, as this knowledge will be crucial during your interview.
✨Demonstrate Your Experience
Be prepared to discuss your previous compliance roles in detail, particularly your experience in institutional brokerage. Highlight specific examples of how you've handled trade monitoring, regulatory updates, and training implementation to showcase your expertise.
✨Showcase Your Problem-Solving Skills
Compliance often involves navigating complex issues. Prepare to discuss scenarios where you've successfully identified and resolved compliance challenges. This will demonstrate your critical thinking and ability to adapt to changing regulations.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm's compliance strategies and future developments. This shows your genuine interest in the role and helps you assess if the company aligns with your career goals, especially regarding the succession plan.
