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- Tasks: Lead compliance efforts, ensuring adherence to regulations and internal policies.
- Company: Join a dynamic Wholesale Investment firm focused on ethical integrity and risk minimisation.
- Benefits: Enjoy competitive salary, professional development opportunities, and a collaborative work environment.
- Why this job: Be a strategic partner in business innovation while making a real impact on compliance standards.
- Qualifications: Experience in wholesale investment firms with strong knowledge of UK and EU regulations required.
- Other info: This role holds SMF 16 and 17 functions, offering significant responsibility and influence.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY:
We 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 the Board on 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.
For further information please contact Hannah Tabatabai
#J-18808-Ljbffr
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 with professionals in the compliance and financial services sectors. Attend industry events, webinars, or conferences where you can meet people who work in similar roles. This can help you gain insights into the company culture and expectations for the Head of Compliance & MLRO position.
✨Tip Number 2
Stay updated on the latest regulatory changes and trends in compliance, especially those relevant to wholesale investment firms. Being knowledgeable about current issues will not only prepare you for interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that showcase your ability to develop compliance frameworks and support strategic initiatives. Tailoring your examples to align with the responsibilities outlined in the job description will make a strong impression.
✨Tip Number 4
Research the company’s recent activities, particularly any news related to compliance or regulatory challenges. This knowledge will allow you to engage in meaningful conversations during interviews and show that you are proactive and well-informed.
We think you need these skills to ace Head of Compliance & MLRO
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance within wholesale investment firms. Emphasise your knowledge of regulations like MAR and MiFID II, and showcase any strategic initiatives you've supported.
Craft a Compelling Cover Letter: In your cover letter, explain why you're the perfect fit for the Head of Compliance & MLRO role. Discuss your experience with compliance frameworks and how you can contribute to the firm's ethical integrity and risk minimisation.
Showcase Your Expertise: Use specific examples in your application to demonstrate your ability to provide expert compliance guidance. Mention any successful projects or initiatives that align with the responsibilities outlined in the job description.
Highlight Training Experience: Since the role involves delivering training to employees, include any relevant experience you have in this area. Detail how you've previously developed or delivered training programmes related to compliance and regulatory standards.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Familiarise yourself with key regulations such as MAR, MiFID II, and the FCA Handbook. Be prepared to discuss how these regulations impact the firm's operations and your approach to compliance.
✨Demonstrate Strategic Thinking
Showcase your ability to align compliance with business strategy. Prepare examples of how you've supported strategic initiatives in previous roles, particularly in areas like market expansion or new product launches.
✨Highlight Your Experience
Be ready to discuss your relevant experience in wholesale investment firms. Focus on specific instances where you provided compliance guidance across various activities such as Sales & Trading or Clearing and Custody.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about potential conflicts of interest or handling material non-public information, and how you would address them.
