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For Companies At a Glance
- Tasks: Lead compliance and AML teams, ensuring adherence to laws and regulations.
- Company: Join a rapidly growing financial services firm making waves in the industry.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth.
- Why this job: Be at the forefront of legal compliance, shaping policies that impact the business.
- Qualifications: Strong academic background and extensive experience 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 72000 - 108000 £ 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.
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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 with compliance and AML in your conversations. Discuss specific instances where you've successfully led teams or implemented policies, as this will resonate well with our expectations for the Head of Legal and Compliance role.
✨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 your interview will demonstrate your proactive approach and deep understanding of the industry.
✨Tip Number 3
Prepare to showcase your leadership skills by sharing examples of how you've managed teams effectively. We value strong leadership, so be ready to discuss your management style and how you foster a culture of accountability and excellence.
✨Tip Number 4
Network with professionals in the financial services and compliance sectors. Engaging with others in the field can provide valuable insights and connections that may help you stand out as a candidate for this position.
We think you need these skills to ace Head of Legal and Compliance
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly understand the responsibilities of the Head of Legal and Compliance position. Highlight your experience in managing compliance teams, regulatory filings, and AML policies in your application.
Tailor Your CV: Customize your CV to reflect your extensive experience in legal, compliance, and AML roles within the financial services sector. Emphasize your leadership skills and any relevant certifications, especially if you have served as SMF16 or SMF17.
Craft a Strong Cover Letter: Write a compelling cover letter that showcases your analytical abilities and attention to detail. Discuss specific examples of how you've successfully navigated complex regulatory frameworks and led compliance initiatives.
Highlight Communication Skills: In both your CV and cover letter, emphasize your excellent communication and interpersonal skills. Provide examples of how you've effectively communicated with regulatory bodies and resolved customer disputes.
How to prepare for a job interview at Compliance Professionals
✨Showcase Your Leadership Skills
As a candidate for the Head of Legal and Compliance, it's crucial to demonstrate your leadership capabilities. Prepare examples from your past experiences where you successfully led teams, managed compliance initiatives, or drove a culture of accountability.
✨Understand Regulatory Frameworks
Familiarize yourself with the specific regulatory frameworks relevant to the financial services industry. Be ready to discuss how you've navigated complex regulations 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 AML situations. Think through potential challenges you might face as SMF 16 or SMF 17 and how you would address them effectively.
✨Highlight Your Communication Skills
Excellent communication is key in this role. Be prepared to articulate your thoughts clearly and concisely. Practice explaining complex legal concepts in simple terms, as you may need to communicate with various stakeholders, including regulatory bodies.
