At a Glance
- Tasks: Lead compliance initiatives and ensure regulatory adherence for a global brokerage firm.
- Company: Join a prestigious global brokerage firm with a strong commitment to compliance.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Opportunity for career advancement in a fast-paced, international setting.
- Why this job: Make a significant impact on compliance and regulatory frameworks in the finance sector.
- Qualifications: Proven experience in compliance, regulatory reporting, and financial crime oversight.
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 in London 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 in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like CLARC Recruitment looking for candidates who are engaged and informed.
We think you need these skills to ace Exclusive – Head of Compliance & MLRO in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at CLARC Recruitment. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at CLARC Recruitment
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with CLARC Recruitment’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
