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- Tasks: Lead the Compliance team and manage regulatory projects daily.
- Company: Join a dynamic firm focused on compliance and regulatory excellence.
- Benefits: Enjoy competitive pay, flexible working options, and professional development opportunities.
- Why this job: Be part of a crucial role that shapes compliance culture and impacts the business positively.
- Qualifications: Experience in compliance management and strong understanding of regulatory frameworks required.
- Other info: This is a stepping stone to a senior leadership position in compliance.
The predicted salary is between 48000 - 72000 £ per year.
This is a fantastic opportunity for a Senior Compliance Manager to take the next step and transition into the role of Deputy Head of Compliance. This key position involves overseeing the daily operations of the Compliance team while playing a pivotal role in significant regulatory projects and initiatives.
Responsibilities:
- Deputising for the Head of Compliance & MLRO as delegated, including acting as the liaison with regulators, exchanges, and senior managers within the firm.
- Assisting with the maintenance of the Compliance Monitoring Programme, conducting reviews, documenting reports, and tracking exceptions.
- Managing the Compliance Calendar to ensure timely reporting to regulators, compliance audits, and risk assessments as required by the firm or its branches.
- Acting as a senior compliance representative in internal working groups or committees, providing input on exceptions, audit findings, and compliance updates affecting the business.
- Preparing management information for the board, working groups, committees, and other relevant stakeholders such as regulators or auditors.
- Advising the business on trade issues, customer enquiries, questionnaires, compliance exceptions, and interpretation of regulatory requirements.
- Ensuring timely reporting of incidents to regulators or internal stakeholders as prescribed.
- Reviewing policies and procedures to confirm they are fit for purpose and aligned with business and regulatory requirements.
If you believe your experience meets the criteria of the above, please apply with a copy of your CV.
Deputy Head of Compliance employer: EC1 Partners
Contact Detail:
EC1 Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Deputy Head of Compliance
✨Tip Number 1
Network with professionals in the compliance field. Attend industry events, webinars, or local meetups to connect with others who may have insights into the role of Deputy Head of Compliance and can provide valuable advice or referrals.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends. This knowledge will not only help you in interviews but also demonstrate your commitment to the field and your proactive approach to compliance management.
✨Tip Number 3
Prepare to discuss specific examples from your previous roles that showcase your leadership skills and experience in managing compliance teams. Highlight any successful projects or initiatives you've led that align with the responsibilities of the Deputy Head of Compliance.
✨Tip Number 4
Familiarise yourself with StudySmarter's values and mission. Tailor your conversations during interviews to reflect how your personal values align with ours, showing that you're not just a fit for the role, but also for our company culture.
We think you need these skills to ace Deputy Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance management and regulatory projects. Use specific examples that demonstrate your ability to oversee operations and liaise with regulators.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your motivation for applying for the Deputy Head of Compliance role. Emphasise your leadership skills and experience in managing compliance teams and projects.
Highlight Key Skills: In your application, focus on key skills such as risk assessment, compliance monitoring, and stakeholder communication. These are crucial for the role and should be evident in your documents.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is vital in compliance roles.
How to prepare for a job interview at EC1 Partners
✨Understand Regulatory Frameworks
Familiarise yourself with the key regulatory frameworks relevant to the role. Be prepared to discuss how these regulations impact compliance operations and how you have navigated them in your previous roles.
✨Showcase Leadership Experience
As a Deputy Head of Compliance, you'll need to demonstrate strong leadership skills. Prepare examples of how you've led teams or projects, particularly in compliance settings, and how you managed challenges effectively.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about past experiences where you had to make tough decisions or handle compliance breaches, and be ready to articulate your thought process.
✨Highlight Communication Skills
Effective communication is crucial in this role, especially when liaising with regulators and senior management. Be ready to discuss how you've communicated complex compliance issues clearly and concisely to various stakeholders.
