At a Glance
- Tasks: Lead UK Compliance and AML function, ensuring adherence to regulations and policies.
- Company: Established financial services business with a focus on fund distribution.
- Benefits: Competitive salary, career growth, and the chance to shape compliance culture.
- Other info: Opportunity to work closely with senior management and regulatory authorities.
- Why this job: Make a real impact in a dynamic, technology-led environment while leading compliance efforts.
- Qualifications: Senior compliance experience in regulated financial services and strong knowledge of FCA and PRA requirements.
The predicted salary is between 100000 - 130000 £ per year.
We are delighted to partner with an established, internationally operating financial services business within the Fund Distribution space, with London as one of its key markets. As a regulated UK entity supervised by both the FCA and the PRA, our client offers a varied and intellectually stimulating compliance landscape spanning regulatory compliance, financial crime, AML, governance, conduct risk, client assets, outsourcing and operational resilience. This is a rare opportunity to lead the UK Compliance and AML function, partnering closely with senior management and Group stakeholders while playing a key role in maintaining a robust regulatory framework and supporting the continued growth of the business.
Key Responsibilities
- Leading the UK Compliance and AML function as the second line of defence, ensuring the business operates in line with UK regulation alongside Group policies and procedures.
- Identifying and assessing compliance risks, providing clear advice and guidance to UK management and staff.
- Developing, implementing and maintaining UK Compliance policies and procedures, ensuring alignment with both Group standards and UK regulatory requirements.
- Leading the UK Compliance Monitoring Programme, ensuring all applicable regulatory obligations are covered, second line monitoring is completed and action plans are implemented where required.
- Reporting monitoring outcomes to UK management and the Group Compliance function.
- Acting as the central point for compliance matters across the UK business, providing analysis, oversight and follow-up on regulatory issues.
- Overseeing client due diligence, AML transaction monitoring and the Money Laundering Risk Assessment.
- Providing trusted compliance and regulatory advice to senior management.
- Developing and delivering compliance and AML training, promoting a strong culture of compliance across the business.
- Acting as the primary liaison with UK regulatory authorities, including the FCA and PRA where appropriate.
Experience Required
- Proven senior compliance and financial crime experience within a regulated financial services environment.
- Background in fund distribution, wealth management, asset management or a similarly regulated business.
- Strong working knowledge of FCA and PRA requirements, along with financial crime frameworks (AML, KYC, transaction monitoring).
- Experience leading a compliance monitoring programme and second line oversight.
- Confident communicator comfortable operating at senior management and Group level.
- The judgement and presence to lead a regulated function and act as a trusted adviser to the business.
This is an excellent opportunity for a senior compliance professional to take full ownership of a broad and varied UK function within a growing, technology-led financial services business.
Chief Compliance Officer employer: Coopman Search and Selection | B Corp™
As a leading boutique private wealth manager based in London, we pride ourselves on fostering a dynamic and inclusive work culture that empowers our employees to take ownership of their roles. With a strong emphasis on compliance and a commitment to professional development, we offer exceptional growth opportunities for those ready to step into senior leadership positions. Our close-knit team ensures that every member has a voice and the chance to influence key decisions, making this an ideal environment for driven professionals seeking meaningful and rewarding careers.
Contact Details:
Coopman Search and Selection | B Corp™ Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Chief Compliance Officer
✨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 Coopman Search and Selection | B Corp™ looking for candidates who are engaged and informed.
We think you need these skills to ace Chief Compliance Officer
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 Coopman Search and Selection | B Corp™. 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 Coopman Search and Selection | B Corp™
✨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 Coopman Search and Selection | B Corp™’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
