At a Glance
- Tasks: Lead compliance initiatives and ensure regulatory adherence for a global brokerage firm.
- Company: Join a prestigious global brokerage with a strong commitment to compliance.
- Benefits: Competitive salary, career advancement opportunities, and a dynamic work environment.
- Other info: Ideal for those seeking leadership roles in a fast-paced financial environment.
- Why this job: Make a significant impact on compliance and regulatory frameworks in the finance sector.
- Qualifications: Experience in compliance, regulatory reporting, and knowledge of FCA regulations required.
The predicted salary is between 40500 - 49500 £ per year.
Our client, a Global Brokerage firm, are looking to recruit a Head of Compliance & MLRO to take ownership of the compliance function and framework with direct accountability to the Board. If you have previously been responsible for CASS oversight too this would be advantageous.
Main Responsibilities:
- Design and run a risk-based compliance monitoring programme across conduct, client assets and financial crime, tracking findings to closure.
- Act as the firm’s principal point of contact for the FCA, including supervisory correspondence.
- Own regulatory reporting: MiFIR transaction reporting (firm as executing entity), RegData, CMAR and reporting quality reconciliation.
- Own the Consumer Duty framework — annual Board assessment, fair value and target market assessments, and outcomes MI.
- Deliver the annual compliance plan and Board compliance report, and turn regulatory change into a prioritised implementation plan.
- Provide independent monitoring of the CASS framework owned by the SMF18 — reconciliation testing, breach identification and escalation, and CASS 10 resolution pack currency.
- Current or previous SMF16 and/or SMF17 approval at an FCA-authorised firm.
- Experience in a dealing-as-principal environment (ideally matched principal) and the conduct issues that follow: dealing capacity, best execution with mark-ups, and surveillance of the firm’s own trading.
- Working knowledge of the FCA Handbook for a non-SNI MIFIDPRU investment firm — SYSC, COBS, CASS, MAR, DISP, SUP, MIFIDPRU and Consumer Duty.
- Hands-on AML operations: risk assessment, CDD/EDD, screening, SAR decision-making and NCA submissions.
Unless otherwise stated, candidates must have the right to work in the UK.
Exclusive – Head of Compliance & MLRO employer: CLARC Recruitment
Join an award-winning property consultancy that prioritises compliance and governance while fostering a supportive work culture in vibrant London or Birmingham. With a commitment to employee growth, the firm offers tailored development opportunities and a collaborative environment where your expertise as a Compliance Officer will be valued and impactful. Enjoy the unique advantage of working in a dynamic sector, contributing to strategic oversight and risk management within a respected organisation.
StudySmarter Expert Advice🤫
We think this is how you could land Exclusive – Head of Compliance & MLRO
✨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 CLARC Recruitment. 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 Exclusive – Head of Compliance & MLRO
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 CLARC Recruitment.
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 CLARC Recruitment'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 CLARC Recruitment
✨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 CLARC Recruitment.
✨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 CLARC Recruitment 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 CLARC Recruitment 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.
