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- Tasks: Lead compliance efforts, ensuring adherence to FCA regulations and overseeing AML frameworks.
- Company: Join a top corporate broking firm in London, known for its strong governance practices.
- Benefits: Enjoy a senior leadership role with strategic influence and opportunities for professional growth.
- Why this job: Make a real impact on regulatory compliance while fostering a culture of awareness and integrity.
- Qualifications: Must have senior compliance experience in corporate finance and knowledge of FCA regulations.
- Other info: This role requires SMF16 & SMF17 approval or the ability to obtain it.
The predicted salary is between 72000 - 108000 £ per year.
Job Title: Head of Compliance (SMF16 & SMF17)
Location: London, UK
Industry: Corporate Finance
A leading corporate broking firm in London is seeking a UK Head of Compliance to take on SMF16 (Compliance Oversight) & SMF17 (Money Laundering Reporting Officer) responsibilities. This is a senior leadership role, ensuring regulatory compliance with the FCA Handbook, overseeing AML frameworks, and maintaining strong governance practices.
Key Responsibilities:
- Act as the FCA-approved person for SMF16 & SMF17, ensuring compliance with all regulatory obligations.
- Develop, implement, and maintain compliance and AML policies, ensuring adherence to UK regulatory requirements.
- Provide strategic compliance oversight, advising senior leadership on regulatory developments and risks.
- Oversee and enhance the compliance monitoring programme, ensuring effective risk management.
- Act as the primary liaison with the FCA and other regulatory bodies, handling regulatory submissions and interactions.
- Lead compliance training initiatives, fostering a culture of regulatory awareness.
- Ensure robust financial crime controls, overseeing KYC, AML, and due diligence processes.
Key Requirements:
- Proven experience in a senior compliance role within corporate broking, investment banking, or capital markets.
- Strong knowledge of FCA regulations, particularly the Conduct of Business (COBS), Market Abuse (MAR), and AML rules.
- Prior SMF16 & SMF17 experience or ability to gain FCA approval.
- Ability to work closely with senior stakeholders and influence decision-making.
- Strong analytical, leadership, and communication skills.
Head of Compliance (Corporate Finance) employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance (Corporate Finance)
✨Tip Number 1
Make sure to stay updated on the latest FCA regulations and compliance trends. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the corporate finance sector, especially those in compliance roles. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully implemented compliance frameworks or handled regulatory challenges in your previous roles. Real-life scenarios can showcase your expertise effectively.
✨Tip Number 4
Familiarize yourself with the company's culture and values. Tailoring your approach to align with their mission can set you apart and show that you're a great fit for the team.
We think you need these skills to ace Head of Compliance (Corporate Finance)
Some tips for your application 🫡
Understand the Role: Make sure you fully understand the responsibilities of the Head of Compliance position. Familiarize yourself with SMF16 and SMF17 requirements, as well as the specific compliance challenges in corporate finance.
Tailor Your CV: Highlight your relevant experience in compliance roles, particularly in corporate broking or investment banking. Emphasize your knowledge of FCA regulations and any previous SMF16 & SMF17 responsibilities.
Craft a Compelling Cover Letter: In your cover letter, demonstrate your strategic vision for compliance oversight and how you can contribute to the firm's governance practices. Mention specific examples of how you've successfully managed compliance frameworks in the past.
Showcase Leadership Skills: Since this is a senior leadership role, be sure to highlight your leadership experience. Discuss how you've influenced decision-making and fostered a culture of regulatory awareness in previous positions.
How to prepare for a job interview at ETRA Talent
✨Showcase Your Regulatory Knowledge
Make sure to demonstrate your deep understanding of FCA regulations, especially COBS, MAR, and AML rules. Prepare specific examples of how you've successfully navigated compliance challenges in your previous roles.
✨Highlight Leadership Experience
As this is a senior leadership role, be ready to discuss your experience in leading compliance teams and initiatives. Share instances where you influenced decision-making at the executive level and how you fostered a culture of compliance within your organization.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past experiences where you had to manage regulatory risks or implement compliance policies, and be prepared to explain your thought process.
✨Demonstrate Strong Communication Skills
Effective communication is key in this role. Practice articulating complex compliance concepts clearly and concisely. Be prepared to discuss how you would communicate compliance issues to senior stakeholders and regulatory bodies.
