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.
- Other info: Opportunity to advise senior management and shape compliance strategies.
- 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 advisory or investment firms.
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 in Derby employer: Clayton Davies
As a leading firm in the wealth management and financial advisory sector, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises compliance and ethical practices. Our home-based role as Head of Compliance offers competitive salaries, comprehensive training, and ample opportunities for professional growth, ensuring you can thrive while making a meaningful impact in the industry. Join us to be part of a team that values integrity and innovation, all while enjoying the flexibility of remote work.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance in Derby
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial sectors. We all know that sometimes it’s not just what you know, but who you know. Attend industry events or webinars to meet potential employers and make a lasting impression.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. We want you to be the go-to expert in the room! Practise answering common interview questions and think about how your experience aligns with the role of Head of Compliance.
✨Tip Number 3
Showcase your skills through real-life examples. When discussing your experience, we suggest using the STAR method (Situation, Task, Action, Result) to clearly demonstrate how you've tackled compliance challenges in the past. This will help you stand out from the crowd!
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities waiting for you. By applying directly, you’ll ensure your application gets the attention it deserves, and we can help you land that dream job in compliance.
We think you need these skills to ace Head of Compliance in Derby
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 initiatives. Highlighting your experience as a Head of Compliance or MLRO will demonstrate your capability to handle the responsibilities outlined in the job description.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Practise articulating your thought process and decision-making skills in these scenarios, as this will showcase your problem-solving abilities and your proactive approach to managing financial crime risks.
✨Engage with the Interviewers
Don’t forget that interviews are a two-way street! Prepare thoughtful questions about the company’s compliance culture and how they handle regulatory changes. This not only shows your interest in the role but also gives you insight into whether the company aligns with your values.
