At a Glance
- Tasks: Lead compliance efforts and ensure adherence to UK regulations in a dynamic financial institution.
- Company: Join a leading FCA-regulated financial firm with a strong compliance culture.
- Benefits: Competitive salary, international training, career growth, and a vibrant London location.
- Other info: Opportunity for travel and professional development in an international setting.
- Why this job: Make a real impact by shaping compliance strategies in a fast-paced environment.
- Qualifications: 7-10 years of compliance experience and strong knowledge of FCA regulations required.
The predicted salary is between 80000 - 100000 £ per year.
Reporting to: Chief Executive Officer (CEO) and Board of Directors
Regulatory Status: FCA-Regulated Financial Institution
Role Summary
The Head of Compliance is responsible for the development, implementation, and oversight of the firm's compliance framework, ensuring adherence to all applicable UK regulatory requirements, including those established by the Financial Conduct Authority (FCA), the Money Laundering Regulations 2017, the Proceeds of Crime Act (POCA), and other relevant legislation. The position serves as the primary compliance advisor to senior management and the Board of Directors and is responsible for maintaining a robust compliance culture across the organisation.
Key Responsibilities
- Develop, maintain, and oversee the firm's Compliance Monitoring Programme (CMP).
- Ensure ongoing compliance with FCA rules, guidance, and regulatory expectations.
- Advise senior management and the Board on regulatory developments and compliance risks.
- Design and implement compliance policies and procedures.
- Conduct regulatory risk assessments and compliance reviews.
- Oversee customer onboarding controls, KYC, CDD, EDD, and sanctions screening processes.
- Monitor financial crime controls, including AML, CTF, sanctions, fraud prevention, and anti‐bribery measures.
- Coordinate regulatory reporting obligations and communications with the FCA.
- Manage regulatory inspections, audits, and compliance reviews.
- Deliver compliance training and awareness programmes to staff.
- Review new products, services, and business initiatives from a regulatory perspective.
- Prepare management information (MI) and compliance reports for senior management and the Board.
- Maintain regulatory registers, breaches logs, and compliance records.
Governance Responsibilities
- Act as the firm's Head of Compliance.
- Provide independent oversight of regulatory compliance arrangements.
- Escalate material compliance issues to senior management and the Board.
- Support the firm's Senior Managers & Certification Regime (SM&CR) framework where applicable.
Experience and Qualifications
- Minimum 7–10 years of compliance experience within a UK regulated financial institution.
- Strong knowledge of FCA Handbook requirements.
- Extensive experience in AML/CTF, sanctions compliance, and financial crime prevention.
- Experience interacting directly with UK regulators.
- Proven ability to design and implement compliance frameworks.
- Professional compliance qualification preferred (ICA, CISI, ACAMS, or equivalent).
- Degree in Law, Finance, Business Administration, or related field.
Skills
- Strong analytical and risk assessment capabilities.
- Excellent communication and stakeholder management skills.
- Ability to work independently and provide objective regulatory advice.
- Strong leadership and team management abilities.
- High level of integrity and professional judgment.
Authority Level
The Head of Compliance has unrestricted access to the Board of Directors and senior management and may elevate any material compliance concern that could expose the institution to regulatory, legal, financial, or reputational risk.
Career opportunities and professional development.
Opportunity to work in an international environment. International training program. Position based in Central London. Possibility to travel. Permanent position.
The ideal candidate will be enthusiastic and possess analytical skills and a desire to learn and grow proactively to generate positive results, helping to comply with applicable laws and regulations. This individual is a self‐starter, flexible, has a high level of integrity, and is action‐ and goal‐oriented in a collaborative, fast‐paced, team‐oriented environment.
Chief Compliance Officer in London employer: Euro Exchange Financial Group
As a Chief Compliance Officer at our FCA-regulated financial institution in Central London, you will thrive in a dynamic and collaborative work culture that prioritises integrity and professional growth. We offer extensive career development opportunities, including an international training programme, and the chance to engage directly with senior management and the Board, ensuring your voice is heard in shaping our compliance framework. Join us to be part of a team that values compliance excellence and fosters a supportive environment for meaningful contributions.
Contact Details:
Euro Exchange Financial Group Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Chief Compliance Officer in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, attend industry events, and engage with professionals on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. Be ready to discuss how you've tackled compliance challenges in the past. Show them you're not just a candidate, but a compliance champion!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Use our website to find roles that excite you and match your skills. Tailor your approach to each company to stand out from the crowd.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share any additional insights or thoughts you had post-interview to reinforce your interest and expertise.
We think you need these skills to ace Chief Compliance Officer in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the specific skills and experiences that match the Chief Compliance Officer role. Highlight your compliance experience, especially with FCA regulations, and any relevant qualifications you have.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the role. Mention your passion for compliance and how your background aligns with our mission at StudySmarter.
Showcase Your Analytical Skills:Since this role requires strong analytical capabilities, be sure to include examples of how you've successfully assessed risks or developed compliance frameworks in your previous roles. We love seeing real-world applications!
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 team!
How to prepare for a job interview at Euro Exchange Financial Group
✨Know Your Regulations
Make sure you brush up on the FCA Handbook and other relevant legislation before your interview. Being able to discuss specific regulations and how they apply to the role will show that you're not just familiar with compliance, but that you can navigate the complexities of the regulatory landscape.
✨Showcase Your Experience
Prepare to share concrete examples from your past compliance roles, especially those involving AML/CTF and interactions with regulators. Highlighting your experience in designing and implementing compliance frameworks will demonstrate your capability to take on this leadership position.
✨Demonstrate Analytical Skills
Be ready to discuss how you've conducted risk assessments and compliance reviews in previous roles. Use specific scenarios to illustrate your analytical thinking and problem-solving skills, as these are crucial for the Chief Compliance Officer position.
✨Engage with Stakeholders
Since this role involves advising senior management and the Board, practice articulating your thoughts clearly and confidently. Prepare to discuss how you've managed stakeholder relationships in the past, as strong communication skills are key to success in this position.
