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For Companies At a Glance
- Tasks: Lead compliance and AML teams, ensuring legal adherence and managing regulatory relationships.
- Company: Join a rapidly growing financial services firm making waves in the industry.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth and development.
- Why this job: Be at the forefront of compliance, shaping policies and making a real impact in finance.
- Qualifications: Strong analytical skills, leadership experience, and a background in legal and compliance roles required.
- Other info: Act as the Money Laundering Reporting Officer and lead customer complaint resolutions.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: Our client is a successful and rapidly growing financial services firm.
THE RESPONSIBILITIES:
- Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17.
- Ensure compliance with all relevant laws and regulations.
- Liaise with regulatory bodies.
- Ensure all regulatory filings and reports are accurate and submitted on time.
- Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities.
- Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm’s procedures and processes effectively.
- Draft and review key contracts, agreements, official responses to customer disputes and other legal documents.
- Stay abreast of legal developments and advise the business on potential impacts.
- Act as the Money Laundering Reporting Officer (MLRO) for the company.
- Develop and implement AML policies and procedures.
- Conduct AML risk assessments and ensure effective AML controls are in place.
- Report suspicious activities to the relevant authorities and maintain records of such reports.
- Provide AML training and guidance to staff.
- Lead the end-to-end customer complaints process, ensuring timely and effective resolution.
EXPERIENCE REQUIRED:
- Strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks.
- Current or recent experience as SMF16/SMF17.
- Extensive experience in legal, compliance, and AML roles, within the financial services space – ideally from a brokerage environment.
- Strong leadership and management skills.
- Excellent communication and interpersonal skills.
- First class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments.
For further information please contact Natalie Eshelby.
Head of Legal and Compliance employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Legal and Compliance
✨Tip Number 1
Make sure to highlight your experience in leading compliance and AML teams. Use specific examples from your past roles where you successfully drove a culture of accountability and excellence.
✨Tip Number 2
Familiarize yourself with the latest regulatory changes in the financial services sector. Being able to discuss recent developments and their implications during the interview will demonstrate your proactive approach and expertise.
✨Tip Number 3
Prepare to discuss your experience with drafting and implementing policies and procedures. Be ready to share how you've effectively updated these documents in response to changing regulations.
✨Tip Number 4
Showcase your leadership and communication skills by preparing examples of how you've managed teams and resolved conflicts. This will help illustrate your ability to lead the Compliance and AML teams effectively.
We think you need these skills to ace Head of Legal and Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in legal, compliance, and AML roles, especially within the financial services sector. Emphasize any leadership positions you've held and your familiarity with regulatory frameworks.
Craft a Strong Cover Letter: In your cover letter, clearly articulate your understanding of the responsibilities outlined in the job description. Discuss your experience as SMF 16/SMF 17 and how you have successfully managed compliance teams in the past.
Showcase Your Analytical Skills: Provide specific examples in your application that demonstrate your analytical ability and attention to detail. Highlight instances where you effectively navigated complex regulatory challenges or improved compliance processes.
Highlight Communication Skills: Since excellent communication is crucial for this role, include examples of how you've effectively communicated with regulatory bodies or resolved customer disputes. This will showcase your interpersonal skills and ability to articulate complex points.
How to prepare for a job interview at Compliance Professionals
✨Showcase Your Leadership Skills
As a candidate for the Head of Legal and Compliance position, it's crucial to demonstrate your leadership capabilities. Prepare examples from your past experiences where you successfully led teams, especially in compliance or AML contexts, and highlight how you fostered a culture of accountability.
✨Understand Regulatory Frameworks
Make sure you are well-versed in the relevant laws and regulations that govern the financial services industry. Be ready to discuss how you've navigated complex regulatory frameworks in previous roles and how you plan to ensure compliance within the company.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance and legal matters. Think through potential challenges you might face as the MLRO and how you would address them, including your approach to drafting policies and handling customer complaints.
✨Communicate Clearly and Effectively
Given the importance of communication in this role, practice articulating your thoughts clearly and coherently. Be prepared to explain complex legal concepts in simple terms, as you may need to advise various stakeholders within the firm.
