At a Glance
- Tasks: Lead compliance initiatives and foster a culture of integrity within the organisation.
- Company: Global wholesale banking business based in London with a stellar reputation.
- Benefits: Competitive salary, leadership opportunities, and a dynamic work environment.
- Other info: Join a team that values innovation and offers excellent career progression.
- Why this job: Make a significant impact on compliance strategy in a prestigious financial institution.
- Qualifications: 10+ years in compliance, strong UK regulatory knowledge, and proven leadership skills.
The predicted salary is between 72000 - 108000 £ per year.
THE COMPANY: Our client is a global wholesale banking business based in London. With an international reach, they are a truly first class employer.
THE RESPONSIBILITIES:
- Promoting a compliance culture, championing compliance and providing compliance thought leadership.
- Leadership and management of the Compliance team.
- Planning and implementing the UK compliance strategy, including embedding best practices.
- Support and advisory services to lines of business and corporate support areas, including but not limited to, on business as usual queries, new business initiatives and regulations.
- Liaising with the FCA and PRA.
- Liaising with relevant financial services trade bodies and similar bodies, banks, and financial institutions with similar ethos and outlook, ensuring visibility for the bank and networking opportunities.
- Liaising with relevant external stakeholders (for example, legal counsel, consultants and vendors).
- Oversight of the Compliance team in the maintenance of compliance policies.
- Oversight of the compliance training programme, including implementation of the yearly training plan, identification of relevant training courses and the face to face delivery of certain training courses.
- Oversight of the Compliance monitoring and surveillance programme.
- Oversight of the review and implementation of the conduct risk framework.
- Oversight of assessing and implementing relevant regulations and regulatory outputs (for example, speeches, good and poor practices, thematic reports, surveys, reports).
- Responsibility for the insider dealing and market abuse aspects of financial crime (excluding fraud, bribery and corruption, anti-money laundering, terrorist financing and sanctions).
- Responsibility for complaints handling.
- Responsible for compliance reporting to senior management and relevant board(s).
- Responsibility for conduct rules training of Capital Markets London staff.
EXPERIENCE REQUIRED:
- Minimum of 10 years’ experience in compliance in the international banking and the wholesale financial markets.
- Experience and strong knowledge of UK regulations.
- Good knowledge and experience of dealing with the regulators.
- Strong leadership skills.
- Ability to translate strategic priorities and adopt a proactive approach to the compliance mission and take a balanced view.
- Experience of establishing, reforming and managing teams.
- A logical and practical approach to work.
- Strong attention to detail and the ability to meet deadlines with minimal supervision.
For further information please contact Hannah Tabatabai.
Chief Compliance Officer employer: Compliance Professionals
As a leading wealth management firm in Greater London, we pride ourselves on fostering a collaborative work environment that prioritises compliance excellence and professional growth. Our commitment to employee development is reflected in our comprehensive training programmes and supportive culture, making us an ideal employer for compliance professionals seeking meaningful and rewarding careers in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Chief Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to your connections in the banking and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Showcase your expertise! Prepare a portfolio or presentation that highlights your achievements in compliance. This could include successful projects, strategies you've implemented, or training programmes you've led. Bring this along to interviews to impress!
✨Tip Number 3
Be proactive! Don’t just wait for job openings to pop up. Reach out directly to companies you admire, like our client, and express your interest in potential roles. You never know when an opportunity might arise!
✨Tip Number 4
Apply through our website! We’ve got a range of exciting opportunities waiting for you. By applying directly, you’ll ensure your application gets the attention it deserves. Plus, we love seeing candidates who take the initiative!
We think you need these skills to ace Chief Compliance Officer
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Chief Compliance Officer role. Highlight your experience in compliance, especially in international banking and wholesale financial markets. We want to see how your skills align with the responsibilities listed in the job description.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to promoting a compliance culture. We love seeing candidates who can articulate their thoughts clearly and show genuine interest in the role.
Showcase Leadership Experience:Since this role involves leading a team, make sure to highlight your leadership experience. Share specific examples of how you've managed teams or projects in the past. We’re looking for someone who can inspire and guide others in the compliance space.
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. Plus, it shows you’re serious about joining our team at this fantastic global banking business.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on UK regulations and compliance standards relevant to the banking sector. Being able to discuss specific regulations and how they impact the business will show that you're not just familiar with the rules, but that you can apply them strategically.
✨Showcase Your Leadership Skills
Prepare examples of how you've successfully led compliance teams in the past. Think about challenges you've faced and how you overcame them. This will demonstrate your ability to manage and inspire a team, which is crucial for the Chief Compliance Officer role.
✨Engage with Real Scenarios
Be ready to discuss real-life compliance scenarios or case studies. This could involve how you handled a compliance breach or implemented a new training programme. Showing your practical experience will highlight your problem-solving skills and proactive approach.
✨Network Like a Pro
Since liaising with external stakeholders is key, think about your networking experiences. Be prepared to talk about how you've built relationships with regulators, legal counsel, or other financial institutions. This will illustrate your ability to represent the bank effectively and enhance its visibility.
