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- Tasks: Lead compliance efforts and ensure regulatory adherence in a dynamic brokerage environment.
- Company: Join a growing brokerage firm with a focus on innovation and compliance.
- Benefits: Competitive salary, professional development, and a chance to shape compliance strategies.
- Why this job: Make a significant impact on compliance frameworks and influence senior stakeholders.
- Qualifications: 10 years of experience in compliance within brokerage or investment banking.
- Other info: Opportunity for career growth in a fast-paced, evolving industry.
The predicted salary is between 72000 - 108000 £ per year.
THE COMPANY: We are excited to be working with a growing brokerage firm. This is a great opportunity for a commercially minded experienced Compliance Officer/MLRO.
THE RESPONSIBILITIES:
- Keep the board aware of regulatory developments and how it will affect the firm’s business and controls.
- Provide regulatory advice to front‑office as well as operational teams on the application of regulations (e.g., MAR, MiFID II, FCA Handbook).
- Review and monitor intergroup trade/transaction booking arrangements.
- Develop and maintain compliance policies and procedures aligned with evolving regulatory expectations.
- Design and implement monitoring and testing plans to evaluate and enhance control effectiveness.
- Design and implement Risk matrixes for the Compliance department to feed into the monthly Risk & Compliance Meeting and the Board.
- Horizon scanning and reporting on any changes/enhancements required as a result.
- Review and ensure appropriate training is delivered to employees.
- Hold SMF 16 and 17 functions.
EXPERIENCE REQUIRED:
- Ten years relevant experience in a wholesale Brokerage investment firm or investment banking firm.
- Proven ability to develop and maintain robust compliance frameworks and monitoring programs.
- Excellent understanding/knowledge of UK, EU, and global regulations (e.g., MAR, MiFID II, DTR, SSR).
- Strong track record in supporting strategic business initiatives and regulatory change.
- Excellent interpersonal and communication skills, with the ability to influence and guide senior stakeholders.
Head of Compliance & MLRO employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance & MLRO
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and finance sectors. Attend industry events or webinars where you can meet potential employers or colleagues who might know about openings. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulations like MAR and MiFID II. Be ready to discuss how you've implemented compliance frameworks in the past. Show them you’re not just familiar with the rules, but that you can apply them effectively!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation for the opportunity. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Check out our website for the latest job openings! We regularly update our listings, and applying directly through us can give you a better chance of landing that dream job. Plus, we’re here to support you every step of the way!
We think you need these skills to ace Head of Compliance & MLRO
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance & MLRO role. Highlight your experience in compliance frameworks and regulatory knowledge, especially around MAR and MiFID II. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of how you've influenced senior stakeholders or developed compliance policies in the past. We love a good story!
Showcase Your Regulatory Knowledge: In your application, don’t forget to showcase your understanding of UK, EU, and global regulations. Mention any relevant certifications or training you've completed. This will show us that you’re not just familiar with the rules, but that you live and breathe compliance.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get the best experience possible. Plus, it shows us you're keen on joining our team!
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on the key regulations mentioned in the job description, like MAR and MiFID II. Being able to discuss how these regulations impact the business will show that you're not just familiar with compliance but also understand its practical implications.
✨Showcase Your Experience
Prepare specific examples from your ten years of experience in compliance roles. Highlight instances where you've developed compliance frameworks or influenced senior stakeholders. This will demonstrate your capability and give the interviewers confidence in your expertise.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle certain compliance scenarios. Think about potential regulatory changes and how you would adapt policies or training. This shows your proactive approach and ability to think critically under pressure.
✨Communicate Effectively
Since strong communication skills are crucial for this role, practice articulating your thoughts clearly and confidently. Use concise language and avoid jargon unless necessary. This will help you connect with the interviewers and convey your ideas effectively.
