At a Glance
- Tasks: Lead compliance for a specialist ETF market-making business and enhance regulatory frameworks.
- Company: Dynamic ETF market-maker with a focus on compliance and risk management.
- Benefits: Influential role, direct engagement with leadership, and significant strategic impact.
- Other info: Opportunity to influence regulatory leadership and drive operational resilience.
- Why this job: Shape compliance strategies in a high-performing, entrepreneurial environment.
- Qualifications: 10+ years in compliance, FCA SMF16 approval, and experience in trading environments.
The predicted salary is between 80000 - 100000 £ per year.
Our client is seeking an experienced and highly motivated Head of Compliance to lead the second‑line compliance function within a specialist ETF market‑making business. This is a critical leadership position with direct responsibility for the firm's compliance framework, regulatory engagement, and governance oversight. The successful candidate will hold FCA SMF16 (Compliance Oversight) approval and play a key role in ensuring the firm maintains the highest standards of regulatory compliance, risk management, and conduct across its trading activities. This is an excellent opportunity for a senior compliance professional with a strong background in market making, principal trading, or sell‑side trading environments to influence strategy and help shape the firm's control framework as it continues to grow.
Key Responsibilities
- Compliance Leadership & Regulatory Oversight
- Lead and continuously enhance the firm's compliance framework and monitoring programme.
- Serve as the primary point of contact for FCA engagement and regulatory matters.
- Hold and discharge responsibilities associated with SMF16 Compliance Oversight under the Senior Managers & Certification Regime (SM&CR).
- Promote a strong culture of compliance, conduct, and accountability across the organisation.
- Support and challenge the firm's risk management framework as part of the second line of defence.
- Lead compliance input into the firm's ICARA process under the Investment Firms Prudential Regime (IFPR).
- Oversee the preparation and submission of annual MIF007 and other regulatory returns.
- Market Making & Trading Compliance
- Oversee compliance with market‑making obligations under MiFID II RTS 8 across all trading venues.
- Monitor adherence to quoting requirements, spread obligations, and stressed‑market commitments.
- Provide compliance oversight for ETF market‑making activities and related trading operations.
- Lead the firm's market abuse surveillance programme.
- Calibrate and enhance surveillance systems and alert frameworks.
- Manage STOR assessments and submissions.
- Act as a key liaison with regulators regarding compliance with the UK Market Abuse Regulation (MAR).
- Authorised Participant Oversight
- Oversee Authorised Participant (AP) activities and governance.
- Review and maintain AP agreements and operational controls.
- Monitor creation/redemption workflow risks and inventory basis risk.
- Lead the firm's financial crime framework, including AML, sanctions, and anti‑bribery & corruption controls.
- Act as MLRO or provide oversight and support to the MLRO function.
- Drive the firm's operational resilience programme and third‑party risk management framework.
- Oversee regulatory training and awareness initiatives across the business.
About You
You are a senior compliance leader with deep experience operating within FCA‑regulated trading environments. You combine strong regulatory expertise with commercial awareness and the ability to influence stakeholders at all levels.
- Current or previous FCA SMF16 Compliance Oversight approval.
- 10+ years' experience in risk and/or compliance within an FCA‑authorised investment firm.
- Demonstrable senior leadership experience within a regulated financial services business.
- Direct experience within an algorithmic market making, principal trading, or sell‑side trading environment.
- Strong knowledge of: MiFID II / MiFIR, Market Abuse Regulation (MAR), IFPR / MIFIDPRU.
- Proven experience leading an ICARA process and regulatory reporting submissions.
- Experience designing, implementing, and managing market abuse surveillance programmes for algorithmic or market‑making activities.
- ETF market‑making experience.
- Previous or current SMF17 (MLRO) approval.
- Experience overseeing Authorised Participant (AP) activities and ETF creation/redemption processes.
Why Join Us?
- Opportunity to hold a highly influential regulatory leadership role.
- Work at the heart of a specialist ETF market‑making business.
- Direct engagement with senior leadership and regulators.
- Shape and enhance a mature compliance and risk framework.
- Join a high‑performing, entrepreneurial environment with significant strategic impact.
Apply Now
If you are an FCA‑approved compliance leader with experience in market making, trading, and prudential regulation, we'd love to hear from you. Apply today or contact us confidentially to discuss the opportunity further.
Head of Compliance employer: dnevo Partners
Join a dynamic and entrepreneurial ETF market-making business that prioritises compliance and regulatory excellence. As the Head of Compliance, you will be at the forefront of shaping a robust compliance framework while enjoying a collaborative work culture that fosters professional growth and direct engagement with senior leadership and regulators. This role offers a unique opportunity to influence strategy in a high-performing environment, making it an exceptional place for compliance professionals seeking meaningful and impactful work.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance
✨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 dnevo Partners looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance
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 dnevo Partners. 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 dnevo Partners
✨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 dnevo Partners’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
