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For Companies At a Glance
- Tasks: Lead compliance and oversee anti-financial crime framework in a dynamic financial environment.
- Company: Join a reputable FCA-regulated wealth management firm with a strong compliance culture.
- Benefits: Enjoy a competitive salary and the flexibility of home-based work.
- Why this job: Make a real impact by ensuring regulatory compliance and managing financial crime risks.
- Qualifications: Proven experience in compliance roles within financial advisory or investment firms.
- Other info: Opportunity to advise senior management and shape compliance strategies.
The predicted salary is between 43200 - 72000 £ per year.
⭐️ Head of Compliance & MLRO
📍 Home Based
💰 Competitive Salary
Our client is looking for a Head of Compliance & MLRO to lead the compliance function and oversee the anti-financial crime framework across the Group’s FCA-regulated wealth management and financial advisory firms. You will ensure that the firm meets all its regulatory obligations, maintain a robust compliance culture, and proactively manage financial crime risks.
Role & Responsibilities: 📋
- Serve as the firm’s Head of Compliance and MLRO, ensuring full adherence to FCA and other applicable regulations.
- Develop, implement, and maintain the compliance framework, policies, and procedures across the business.
- Act as the primary point of contact with regulators, including handling FCA notifications, reporting obligations, and inspections.
- Monitor and review financial crime risks, ensuring effective AML/CTF policies, client due diligence, and suspicious activity reporting.
- Deliver compliance training and support to staff at all levels, fostering a strong culture of compliance.
- Oversee compliance monitoring programmes, risk assessments, and internal audits.
- Advise the Board and senior management on emerging regulatory changes and best practices.
- Prepare and present compliance and AML/CTF reports to the Board and Committees.
Do you have the following to apply? ✅
- Proven experience as a Head of Compliance, MLRO, or senior compliance officer within a financial advisory, wealth management, or investment firm.
- In-depth knowledge of FCA Handbook including working knowledge of ICARA
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Head of Compliance employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial sectors. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and compliance frameworks. We recommend practising common interview questions related to compliance and financial crime risks to show you’re the right fit.
✨Tip Number 3
Showcase your expertise! Create a portfolio of your previous compliance work, including policies you've developed or training sessions you've led. This will help you stand out during interviews.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience with FCA regulations and compliance frameworks, as this will show us you’re the right fit for the job.
Craft a Compelling Cover Letter: Your cover letter should tell us why you’re passionate about compliance and how your background aligns with our needs. Be specific about your achievements in previous roles to grab our attention!
Showcase Your Regulatory Knowledge: We want to see your understanding of the FCA Handbook and financial crime risks. Mention any relevant certifications or training that demonstrate your expertise in these areas.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. We can’t wait to hear from you!
How to prepare for a job interview at Clayton Davies
✨Know Your Regulations
Make sure you brush up on the FCA Handbook and any relevant regulations before your interview. Being able to discuss specific compliance frameworks and how they apply to the role will show that you're not just familiar with the rules, but that you can also implement them effectively.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles where you've successfully managed compliance issues or led a team through regulatory changes. This will help demonstrate your capability as a Head of Compliance and MLRO, making it clear that you have the hands-on experience needed for the job.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Think about how you would handle issues like suspicious activity reporting or regulatory inspections. Practising these scenarios can help you articulate your thought process and decision-making skills during the interview.
✨Emphasise Training and Culture
Since fostering a strong compliance culture is key, be ready to discuss how you've delivered training or built compliance awareness in previous roles. Highlighting your ability to engage staff at all levels will show that you understand the importance of a proactive compliance environment.
