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- Tasks: Lead the regulatory team and ensure compliance with FCA regulations.
- Company: Join a top financial services firm making waves in the industry.
- Benefits: Enjoy a competitive salary and a comprehensive benefits package.
- Why this job: Be part of a dynamic team that values collaboration and professional growth.
- Qualifications: Extensive compliance experience in FCA regulated firms is essential.
- Other info: This role offers flexibility with locations in Edinburgh, Glasgow, or London.
The predicted salary is between 48000 - 72000 £ per year.
Do you have relevant significant experience in compliance within an FCA regulated firm? Our client, a leading financial services firm, is seeking a Head of Regulatory Compliance to lead the regulatory team on a permanent basis. Strong people management and stakeholder management skills are essential for this role. Experience in IFoA is desirable. This role can be based in Edinburgh, Glasgow, or London.
Skills/Experience:
- Extensive compliance experience in an FCA regulated firm.
- Experience gained in financial services, ideally financial planning or asset management and/or professional services.
- Strong understanding of the FCA Handbook and other relevant regulations such as the Bribery Act or Money Laundering regulations.
- Experience in IFoA is desirable.
- Relevant professional qualification, for example a Compliance Diploma or equivalent.
- Good working knowledge of IT systems, such as SharePoint is desirable.
- Ability to influence.
- Excellent at building relationships and working collaboratively with a wide range of people.
- Excellent communicator.
Core Responsibilities:
- Ownership of the strategy, business plan, and budget for the Regulatory team.
- Provide effective compliance advice and guidance to senior management and business units.
- Maintain and update documentation related to compliance activities.
- Investigate and address compliance issues and breaches.
- Support second line of defence oversight; monitor compliance with regulatory requirements and internal policies and oversee our compliance monitoring plan.
- Monitor the regulatory perimeter as our business activities change and grow.
- Produce and present effective management information.
- Manage and oversee all relevant regulatory reporting and communication requirements.
- Develop and manage direct reports and ensure the team are recognised internally as professional, partnering, and solutions-driven.
- Maintain on-hand external compliance experts to supplement the team as needed.
- Keep up to date with developments which may affect FCA regulated firms, risk and governance framework/activities of the firm.
Benefits:
- A highly competitive salary.
- Wider Benefits package.
Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
Head of Compliance employer: Core-Asset Consulting
Contact Detail:
Core-Asset Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in FCA regulated firms. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in regulatory compliance.
✨Tip Number 2
Familiarise yourself with the FCA Handbook and other relevant regulations like the Bribery Act and Money Laundering regulations. Being well-versed in these areas will not only boost your confidence but also demonstrate your expertise during discussions.
✨Tip Number 3
Showcase your people management and stakeholder management skills by seeking opportunities to lead projects or teams in your current role. Highlighting these experiences can set you apart as a candidate who can effectively manage and develop a compliance team.
✨Tip Number 4
Stay updated on the latest developments affecting FCA regulated firms. Subscribe to relevant newsletters or follow industry leaders on social media to ensure you're informed about changes that could impact compliance strategies.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive compliance experience in FCA regulated firms. Emphasise your people management and stakeholder management skills, as these are essential for the role.
Craft a Strong Cover Letter: In your cover letter, clearly articulate your understanding of the FCA Handbook and relevant regulations like the Bribery Act or Money Laundering regulations. Mention any experience with IFoA if applicable.
Showcase Relevant Qualifications: Include any relevant professional qualifications, such as a Compliance Diploma or equivalent, in your application. This will demonstrate your commitment to the field and enhance your credibility.
Highlight Communication Skills: Since excellent communication is crucial for this role, provide examples in your application that showcase your ability to influence and build relationships with a wide range of stakeholders.
How to prepare for a job interview at Core-Asset Consulting
✨Showcase Your Compliance Expertise
Make sure to highlight your extensive experience in compliance, particularly within FCA regulated firms. Be prepared to discuss specific regulations like the FCA Handbook, Bribery Act, and Money Laundering regulations, as well as how you've applied this knowledge in previous roles.
✨Demonstrate Strong People Management Skills
As a Head of Compliance, you'll need to manage a team effectively. Share examples of how you've successfully led teams, developed direct reports, and fostered a collaborative environment. This will show that you can build relationships and influence others.
✨Prepare for Stakeholder Engagement
Since stakeholder management is crucial for this role, think about past experiences where you've effectively communicated with senior management or other business units. Be ready to discuss how you provided compliance advice and guidance in those situations.
✨Stay Updated on Regulatory Changes
The compliance landscape is always evolving, so it's important to demonstrate your commitment to staying informed. Discuss any recent developments in FCA regulations or compliance practices that could impact the firm, showing that you're proactive and knowledgeable.
