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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 fostering a culture of integrity.
- Qualifications: Proven experience in compliance roles within financial services and knowledge of FCA regulations.
- Other info: Opportunity to advise senior management and shape compliance strategies.
The predicted salary is between 48000 - 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
Showcase your expertise! Prepare a portfolio that highlights your achievements in compliance, especially any successful projects or initiatives you've led. This will help you stand out during interviews.
✨Tip Number 3
Practice makes perfect! Conduct mock interviews with friends or mentors to refine your responses, especially around compliance regulations and your approach to risk management.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities that might be just right for you. Plus, it’s a great way to ensure your application gets seen by the right people.
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 navigate them effectively.
✨Showcase Your Experience
Prepare to share concrete examples from your past roles as a Head of Compliance or MLRO. Highlight situations where you successfully managed financial crime risks or implemented compliance training. This will demonstrate your hands-on experience and ability to lead in this area.
✨Engage with the Interviewers
Don’t just wait for questions; engage with your interviewers by asking insightful questions about their compliance culture and challenges. This shows your genuine interest in the role and helps you assess if the company aligns with your values.
✨Prepare for Scenario Questions
Expect scenario-based questions that test your problem-solving skills in compliance situations. Think through potential challenges you might face in the role and how you would address them, particularly around AML/CTF policies and regulatory changes.
