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 engagement.
- Why this job: Influence regulatory standards and safeguard the organisation's reputation while driving compliance culture.
- Qualifications: Proven experience in compliance within investment management and strong leadership skills.
The predicted salary is between 80000 - 120000 £ 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 Talent Solutions
As a leading player in the investment management sector, our company offers an exceptional work environment in London that champions compliance excellence and strategic leadership. We pride ourselves on fostering a collaborative culture where innovative ideas thrive, providing ample opportunities for professional growth and development. Join us to make a meaningful impact while enjoying the benefits of a supportive team dedicated to regulatory integrity and operational success.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance - Platform
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals, attend compliance events, and engage in discussions. The more people you know, the better your chances of landing that Head of Compliance role.
✨Tip Number 2
Showcase your expertise! Prepare to discuss your experience with investment management regulations and compliance frameworks in detail. Be ready to share specific examples of how you've driven compliance excellence in previous roles.
✨Tip Number 3
Practice your pitch! When you get the chance to meet potential employers or stakeholders, have a clear and concise summary of your skills and achievements. Make sure they see you as the strategic leader they need for their compliance team.
✨Tip Number 4
Apply through our website! We want to hear from you directly. Make sure your application stands out by tailoring it to highlight your leadership skills and deep knowledge of financial regulations. Let's get you on board!
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 Talent Solutions
✨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 knowledgeable but also passionate about the role.
✨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 aligns with fostering a culture of compliance will resonate well with interviewers looking for a strategic leader.
✨Communicate Effectively
Practice articulating your thoughts clearly and confidently. Use real-life scenarios to demonstrate your excellent communication and negotiation skills. Remember, building effective relationships is key, so be ready to discuss how you've done this in past roles.
✨Be Proactive About Risk Management
Come prepared with insights on proactive risk management strategies you've implemented before. Discussing your experience with developing compliance policies and monitoring systems will show that you can elevate their compliance framework effectively.
