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- Tasks: Ensure compliance with FCA regulations and oversee the firm's regulatory obligations.
- Company: Established London brokerage firm with a strong reputation.
- Benefits: Part-time role with flexible hours and competitive pay.
- Why this job: Join a dynamic team and make a significant impact in the financial sector.
- Qualifications: 7+ years in regulatory law or compliance, excellent communication skills required.
- Other info: Opportunity for professional growth in a supportive environment.
The predicted salary is between 60000 - 80000 £ per year.
THE COMPANY: Our client is a well-established London-based brokerage firm, looking for an SMF16 (Compliance Oversight) on a part time basis. The role will require up to 2 days per week.
THE RESPONSIBILITIES:
- Responsible for the Firm’s performance of its obligations under the FCA’s regulatory regime for a UK 750k MiFIDPru Investment firm treating Retail, Professional, and Eligible Counterparties.
- Horizon scanning of all proposed changes to the UK financial regulatory regime as applicable to MiFIDPRU firms.
- Internal reporting to the Governing Body.
- Accountable for complaints handling and reporting.
- Liaise and support the MLRO.
- Oversee the firm’s compliance with evolving AML environment.
- Engagement with exchanges and clearing houses.
EXPERIENCE REQUIRED:
- 7+ years work experience as a regulatory lawyer and/or as an SM16 and/or in regulatory enforcement.
- Excellent verbal and written communication skills.
- Sound computer literacy skills e.g. Microsoft Office (Word, Excel etc.) and MS Outlook.
Head of Compliance – Part time (up to 2 days per week) in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance – Part time (up to 2 days per week) in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and regulatory fields. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA’s regulatory regime. Be ready to discuss how your experience aligns with the responsibilities of the role, especially around compliance oversight.
✨Tip Number 3
Showcase your communication skills! Whether it’s during an interview or networking, articulate your thoughts clearly and confidently. This is crucial for a role that involves internal reporting and liaising with various stakeholders.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of resources to help you land that part-time gig. Plus, it shows you’re serious about joining the team!
We think you need these skills to ace Head of Compliance – Part time (up to 2 days per week) in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to highlight your experience in compliance and regulatory roles. We want to see how your background aligns with the responsibilities listed in the job description, so don’t hold back on showcasing your relevant skills!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for the Head of Compliance role. We love seeing passion and personality, so let us know what excites you about this opportunity and how you can contribute to our team.
Showcase Your Communication Skills: Since excellent verbal and written communication skills are key for this role, make sure your application reflects that. Keep your language clear and professional, and double-check for any typos or errors. We appreciate attention to detail!
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 all the updates directly from us. Plus, it’s super easy – just follow the prompts!
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on the FCA’s regulatory regime, especially as it pertains to MiFIDPRU firms. Being able to discuss recent changes and how they impact compliance will show that you're not just familiar with the rules but also proactive in your approach.
✨Showcase Your Experience
With 7+ years of experience required, be ready to share specific examples from your past roles. Highlight your achievements in compliance oversight, complaints handling, and any successful engagements with exchanges or clearing houses. This will demonstrate your capability and fit for the role.
✨Communicate Clearly
Since excellent verbal and written communication skills are a must, practice articulating your thoughts clearly and concisely. Consider preparing a few key points about your experience and how it relates to the responsibilities outlined in the job description.
✨Prepare Questions
Interviews are a two-way street! Prepare insightful questions about the firm’s current compliance challenges and their expectations for the role. This shows your genuine interest and helps you assess if the company is the right fit for you.