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- Tasks: Lead compliance operations and ensure regulatory adherence in a dynamic brokerage environment.
- Company: Join a growing Institutional Brokerage firm with a focus on quality recruitment.
- Benefits: Full-time role with a clear development path and supportive team culture.
- Why this job: Be part of a crucial compliance function and shape the future of the team.
- Qualifications: 5+ years in compliance, preferably in financial services; knowledge of commodity derivatives is a plus.
- Other info: Office-based role in London; candidates must have the right to work in the UK.
The predicted salary is between 72000 - 108000 £ per year.
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Direct message the job poster from CLARC Recruitment
Legal, Audit, Risk & Compliance Recruiter. London & New York. Quality not Quantity Approach to Recruiting. Email me on
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.
Apply for this role through this job post or email an application to
Seniority level
-
Seniority level
Director
Employment type
-
Employment type
Full-time
Job function
-
Job function
Other
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Industries
Financial Services and Investment Banking
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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 field, especially those who have experience in institutional brokerage. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Familiarise yourself with the specific regulatory requirements and compliance frameworks relevant to the role, such as SM&CR in the UK and any pertinent US regulations. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare to discuss your experience with trade monitoring and regulatory policies during interviews. Be ready to provide examples of how you've successfully implemented compliance measures in previous roles, particularly in relation to commodity derivatives.
✨Tip Number 4
Showcase your understanding of the company's operations and the specific challenges they face in compliance. Research their recent activities and any changes in regulations that may impact them, so you can speak knowledgeably about how you can contribute to their success.
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 environments. Emphasise relevant skills such as trade monitoring and regulatory policy updates.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention specific experiences that align with the responsibilities listed, such as implementing compliance systems or conducting regulatory certifications.
Highlight Relevant Knowledge: Showcase your understanding of commodity derivative products and any knowledge of ICE and CME rules. This will demonstrate your suitability for the role and your ability to contribute effectively.
Proofread Your Application: Before submitting, carefully proofread your application 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 UK and US compliance regulations, especially the SM&CR. Be prepared to discuss how these regulations impact the daily operations of a compliance function.
✨Demonstrate Industry Knowledge
Familiarise yourself with commodity derivative products and the rules of exchanges like ICE and CME. Showing that you understand the nuances of these products will set you apart from other candidates.
✨Showcase Your Experience
With at least 5 years of compliance experience required, be ready to share specific examples from your past roles. Highlight your achievements in trade monitoring and regulatory policy updates to demonstrate your capability.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past challenges you've faced and how you resolved them, as this will showcase your critical thinking abilities.
