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- Tasks: Lead a team to ensure compliance with FCA regulations and develop robust policies.
- Company: Join a growing Wealth Management firm focused on compliance excellence.
- Benefits: Enjoy professional development opportunities and a supportive work culture.
- Why this job: Make a real impact by fostering a culture of compliance and continuous improvement.
- Qualifications: Experience in compliance management and strong leadership skills are essential.
- Other info: This role is crucial for the firm's regulatory adherence and risk management.
The predicted salary is between 43200 - 72000 £ per year.
Overview : Our client is a growing Wealth Management firm who are looking for a Head of Compliance (SMF16) to join the business. This role is vital for overseeing their compliance framework and ensuring that the firm meets all regulatory requirements set by the FCA. The successful candidate will lead a team of compliance professionals, fostering a culture of compliance and continuous improvement. Key Responsibilities: Leadership and Team Management: Lead and manage a team of compliance specialists, providing guidance, support, and professional development opportunities to enhance their skills and effectiveness. Compliance Oversight: Oversee the firm’s compliance program, ensuring adherence to the SMF16 requirements and other regulatory obligations specific to the IFA sector. Policy Development: Develop, implement, and maintain robust compliance policies and procedures, ensuring they are aligned with current regulations and best practices. Compliance Monitoring: Design and execute a comprehensive compliance monitoring plan, including regular audits and reviews to assess compliance across different business areas. Risk Assessment: Identify, assess, and manage compliance risks within the firm, developing risk mitigation strategies in collaboration with senior management. Training and Awareness
Head of Compliance employer: Clayton Davies Ltd
Contact Detail:
Clayton Davies Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Familiarize yourself with the latest FCA regulations and compliance frameworks relevant to the IFA sector. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing regulatory environment.
✨Tip Number 2
Showcase your leadership skills by preparing examples of how you've successfully managed compliance teams in the past. Highlight specific instances where you fostered a culture of compliance and continuous improvement within your team.
✨Tip Number 3
Be ready to discuss your experience in developing and implementing compliance policies. Prepare to share insights on how you aligned these policies with current regulations and best practices, as this is crucial for the role.
✨Tip Number 4
Demonstrate your analytical skills by discussing how you've previously identified and managed compliance risks. Be prepared to explain your approach to risk assessment and the strategies you developed to mitigate those risks.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Understand the Role: Take the time to thoroughly understand the responsibilities of the Head of Compliance position. Familiarize yourself with the FCA regulations and the specific compliance requirements for the IFA sector.
Tailor Your CV: Customize your CV to highlight relevant experience in compliance leadership, team management, and policy development. Use specific examples that demonstrate your ability to foster a culture of compliance and continuous improvement.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your strategic vision for the role. Mention your experience in developing compliance programs and your approach to risk assessment and mitigation.
Highlight Leadership Skills: Emphasize your leadership and team management skills in both your CV and cover letter. Provide examples of how you have successfully led compliance teams and contributed to their professional development.
How to prepare for a job interview at Clayton Davies Ltd
✨Showcase Your Leadership Skills
As a Head of Compliance, you'll be leading a team. Be prepared to discuss your leadership style and provide examples of how you've successfully managed and developed teams in the past.
✨Demonstrate Regulatory Knowledge
Familiarize yourself with the FCA regulations and the specific compliance requirements for the IFA sector. Be ready to discuss how you would ensure adherence to these regulations within the firm.
✨Discuss Policy Development Experience
Prepare to talk about your experience in developing and implementing compliance policies. Highlight any successful initiatives you've led that improved compliance frameworks or processes.
✨Emphasize Risk Management Strategies
Be ready to explain your approach to identifying and managing compliance risks. Discuss any risk assessment methodologies you've used and how you've collaborated with senior management on risk mitigation.
