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For Companies At a Glance
- 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 the opportunity to shape compliance culture.
- Why this job: Make a real impact on regulatory compliance while working with senior leaders in a dynamic environment.
- Qualifications: Must have senior compliance experience in corporate broking or investment banking and knowledge of FCA regulations.
- Other info: This role requires FCA approval for SMF16 & SMF17 responsibilities.
The predicted salary is between 72000 - 108000 £ per year.
Job Description
Job Title: UK Head of Compliance (SMF16 & SMF17)
Location: London, UK
Industry: Corporate Broking
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.
UK Head of Compliance (SMF16 & SMF17) employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land UK Head of Compliance (SMF16 & SMF17)
✨Tip Number 1
Network with professionals in the corporate broking and compliance sectors. Attend industry events, webinars, or conferences where you can meet key players and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Stay updated on FCA regulations and compliance best practices. Subscribe to relevant newsletters or follow regulatory bodies on social media to ensure you're aware of any changes that could impact your role as a Head of Compliance.
✨Tip Number 3
Consider reaching out to current or former employees of the company to gain insights into their compliance culture and expectations. This can help you tailor your approach during interviews and demonstrate your genuine interest in the role.
✨Tip Number 4
Prepare to discuss specific examples of how you've successfully implemented compliance frameworks or managed regulatory challenges in your previous roles. Highlighting your hands-on experience will show that you're ready to take on the responsibilities of SMF16 and SMF17.
We think you need these skills to ace UK Head of Compliance (SMF16 & SMF17)
Some tips for your application 🫡
Understand the Role: Make sure you fully understand the responsibilities of the UK Head of Compliance position. Familiarize yourself with SMF16 and SMF17 requirements, as well as the FCA Handbook, to demonstrate your knowledge in your application.
Tailor Your CV: Highlight your relevant experience in compliance roles, particularly within corporate broking or investment banking. Emphasize your familiarity with FCA regulations and any previous SMF16 & SMF17 responsibilities you've held.
Craft a Strong Cover Letter: In your cover letter, articulate your strategic vision for compliance oversight and how you plan to enhance the compliance monitoring programme. Mention specific examples of how you've successfully managed regulatory risks in the past.
Showcase Leadership Skills: Demonstrate your leadership capabilities by providing examples of how you've influenced decision-making among senior stakeholders. Highlight any training initiatives you've led that fostered a culture of regulatory awareness.
How to prepare for a job interview at ETRA Talent
✨Understand FCA Regulations
Make sure you have a solid grasp of the FCA Handbook, especially the Conduct of Business (COBS), Market Abuse (MAR), and AML rules. Be prepared to discuss how these regulations impact compliance strategies in corporate broking.
✨Showcase Leadership Experience
Highlight your previous leadership roles in compliance. Share specific examples of how you've influenced decision-making and fostered a culture of regulatory awareness within your team or organization.
✨Prepare for Strategic Discussions
Be ready to discuss how you would provide strategic compliance oversight. Think about potential regulatory developments and risks that could affect the firm, and how you would advise senior leadership on these matters.
✨Demonstrate Strong Analytical Skills
Prepare to showcase your analytical skills by discussing past experiences where you successfully managed compliance monitoring programs or enhanced risk management processes. Use data and outcomes to illustrate your points.
