At a Glance
- Tasks: Lead compliance initiatives and shape regulatory frameworks in a dynamic investment management environment.
- Company: Innovative financial services firm committed to compliance excellence.
- Benefits: Competitive salary, professional development, and opportunities for industry engagement.
- Other info: Join a forward-thinking team with opportunities for career growth and industry impact.
- Why this job: Influence regulatory standards and safeguard the organisation's reputation while driving compliance culture.
- Qualifications: Extensive experience in compliance within investment management and strong leadership skills.
The predicted salary is between 80000 - 100000 £ per year.
Are you a strategic leader with a deep understanding of investment management regulations and a passion for driving compliance excellence? As Head of Compliance (Platform) you will wield your expertise to shape, oversee, and elevate our compliance framework within a dynamic, innovative environment in London. This pivotal role offers the opportunity to influence company operations at the highest level, ensuring regulatory integrity and delivering peace of mind to stakeholders, clients, and regulators alike. Your insights will drive proactive risk management, foster a culture of compliance, and support strategic change initiatives—all within a collaborative and forward-thinking organization committed to excellence.
Required Skills & Qualifications
- Proven experience operating successfully within an investment management environment, with a comprehensive understanding of applicable regulatory requirements, especially relating to investment platforms.
- Strong leadership skills, with experience managing teams and influencing senior stakeholders.
- Deep knowledge of financial regulation frameworks, including FCA requirements, Financial Crime policies, and the wealth advice sector.
- Excellent communication, negotiation, and influencing skills, with the ability to build effective relationships internally and externally.
- Proven track record of developing and implementing compliance policies, monitoring systems, and audit processes.
Nice to Have Skills
- Experience working with platform providers, depositaries, and external auditors.
- Familiarity with FCA thematic reviews and data request processes.
- Industry engagement experience through participation in forums, conferences, or regulatory consultations.
- Knowledge of emerging compliance risks and regulatory landscape developments.
Preferred Education & Experience
- A degree in Law, Finance, or a related discipline.
- Professional qualifications such as ICA, CII, or equivalent compliance certifications.
- At least 8-10 years of experience in compliance, risk, or regulatory roles within financial services, with a focus on investment platforms.
Other Requirements
- Ability to work autonomously with strong decision-making skills.
- Flexibility to manage multiple projects and priorities.
- Willingness to engage with external industry bodies and participate in industry forums.
- Occasional travel may be required for stakeholder engagement or regulatory visits.
If you are ready to lead a vital function, influence regulatory standards, and safeguard our organization’s reputation, we want to hear from you. Take the next step in your career and apply now to join a forward-thinking team dedicated to compliance excellence!
Head of Compliance – Platform employer: Davies Group
As a leading player in the investment management sector, we pride ourselves on fostering a culture of compliance excellence and innovation in our London office. Our collaborative environment not only encourages professional growth through continuous learning and development opportunities but also empowers you to influence strategic initiatives at the highest level. Join us to be part of a forward-thinking team that values integrity, teamwork, and the pursuit of regulatory excellence.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance – Platform
✨Network Like a Pro
Get out there and connect with industry professionals! Attend compliance events, webinars, or even local meet-ups. Building relationships can open doors to opportunities that aren’t advertised.
✨Showcase Your Expertise
When you get the chance to chat with potential employers, don’t hold back on sharing your insights about compliance trends and regulations. We want to see your passion and knowledge shine through!
✨Prepare for Interviews
Research the company’s compliance framework and be ready to discuss how your experience aligns with their needs. We love candidates who come prepared with thoughtful questions and ideas for improvement.
✨Apply Through Our Website
Don’t forget to apply directly through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for talented individuals who are eager to make a difference in compliance.
We think you need these skills to ace Head of Compliance – Platform
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the skills and experience mentioned in the job description. Highlight your leadership skills and compliance expertise, especially in investment management. We want to see how you can bring value to our team!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background aligns with our needs. We love seeing genuine enthusiasm for the role and our mission.
Showcase Your Achievements:Don’t just list your responsibilities; share your successes! Whether it's implementing a new compliance policy or leading a team through a regulatory change, we want to know how you've made an impact in your previous roles.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our forward-thinking team!
How to prepare for a job interview at Davies Group
✨Know Your Regulations Inside Out
Make sure you brush up on the latest investment management regulations, especially those related to investment platforms. Being able to discuss specific FCA requirements and how they impact compliance will show that you're not just familiar with the rules, but that you can apply them strategically.
✨Showcase Your Leadership Skills
Prepare examples of how you've successfully managed teams and influenced senior stakeholders in your previous roles. Highlighting your leadership style and how it fosters a culture of compliance will resonate well with interviewers looking for a strategic leader.
✨Communicate Effectively
Practice articulating your thoughts clearly and confidently. Since this role requires excellent communication and negotiation skills, consider role-playing common interview scenarios with a friend to refine your ability to build relationships and influence others.
✨Demonstrate Proactive Risk Management
Be ready to discuss how you've previously identified and mitigated compliance risks. Sharing specific examples of how you've developed and implemented monitoring systems or audit processes will illustrate your proactive approach to compliance excellence.
