At a Glance
- Tasks: Lead compliance activities and develop policies for a top Online Broker.
- Company: Dynamic Online Broker with a focus on compliance and regulatory excellence.
- Benefits: Competitive salary, generous bonuses, hybrid work, and great benefits.
- Other info: Opportunity to mentor a dedicated team and make a real impact.
- Why this job: Shape the compliance function in a fast-paced, entrepreneurial environment.
- Qualifications: Experience in online broking compliance and strong knowledge of UK regulations.
The predicted salary is between 140000 - 180000 £ per year.
- HEAD OF COMPLIANCE & MLRO – ONLINE BROKING COMPLIANCE EXPERIENCE REQUIRED
- 140K-£180K Plus Generous Bonus/Holiday & Good Benefits Hybrid London
We are exclusively recruiting for our Client, a leading Online Broker, looking for an experienced Head of Compliance & MLRO to lead their Compliance Team in London.
Responsible for all day-to-day compliance activities, administration and reporting.
Developing and maintaining compliance policies and procedures to ensure the firm adheres to its regulatory requirements.
Keeping abreast of regulatory developments, ensuring the CEO, Senior Management Team and business are aware of their ongoing and changing regulatory obligations.
Key contact for liaison with regulators, ensuring maintenance of good relationship and regulatory permissions remain current and appropriate for business needs.
Define and implement a compliance monitoring methodology to appropriately address the regulatory risks faced by the business and carryout regular monitoring in accordance with such.
MLRO for the firm, ensuring business activities are conducted in conformity with applicable AML laws, regulations and internal policies and procedures.
You have a comprehensive knowledge of UK regulatory laws and FCA Regulations with previous experience in Online Broking and a willingness to lead and mentor a small dedicated team of compliance professionals, ideally with some previous staff management experience.
Our client has expressed a preference for someone who has already held SFM16/17 but would consider exceptional candidates who have significant senior Compliance experience but not previously held the control functions.
This position offers an excellent opportunity in a dynamic and entrepreneurial environment for a confident and professional yet personable and engaging individual with a hands-on approach and the desire to take a leadership role in shaping the compliance function of a well-established successful Online Broker.
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
Contact Details:
Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land EXCLUSIVE: HEAD OF COMPLIANCE & MLRO - ONLINE BROKING COMPLIANCE EXPERIENCE REQUIRED in City of London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid) looking for candidates who are engaged and informed.
We think you need these skills to ace EXCLUSIVE: HEAD OF COMPLIANCE & MLRO - ONLINE BROKING COMPLIANCE EXPERIENCE REQUIRED in City of London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid). Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Compliance Recruitment Solutions (Dublin, Geneva, London & Madrid)’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
