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- Tasks: Lead compliance efforts and strengthen frameworks in a growing wholesale Lloyd's Broker.
- Company: A leading wholesale Lloyd's Broker with a focus on compliance and regulatory excellence.
- Benefits: Competitive salary, high-profile role, and the chance to shape compliance strategy.
- Why this job: Make a real impact on governance and regulatory strategy in a dynamic environment.
- Qualifications: Proven experience in compliance within a Lloyd's Broker or similar firm.
- Other info: Join a diverse team committed to inclusion and equitable pathways.
The predicted salary is between 72000 - 108000 £ per year.
A leading wholesale Lloyd's Broker is seeking an experienced Head of Compliance (SMF16) to lead and strengthen its compliance framework during a period of growth and increasing regulatory focus. This is a senior, influential role reporting directly to the board, with responsibility for ensuring the firm's compliance arrangements remain robust, proportionate and fit for a complex Lloyd's and wholesale distribution model.
The successful candidate will take overall responsibility for the firm's compliance function, acting as SMF16 and providing strategic and practical regulatory leadership. A key initial objective will be to undertake a full gap analysis of the existing compliance regime, identifying areas of strength, risk and enhancement in light of regulatory expectations and the firm's evolving business model.
Key Responsibilities
- Act as SMF16 with full responsibility for FCA compliance oversight
- Conduct a comprehensive review and gap analysis of the firm's compliance framework, policies, controls and governance
- Strengthen oversight of a growing Appointed Representatives (AR) network, ensuring effective monitoring, due diligence and ongoing supervision in line with heightened regulatory scrutiny
- Advise the board and senior management on regulatory developments impacting wholesale and Lloyd's market Brokers
- Maintain and enhance compliance policies, procedures and reporting across the business
- Oversee regulatory interactions with the FCA and, where relevant, Lloyd's
- Support, mentor and develop the compliance team, ensuring appropriate structure and capability as the business grows
- Embed a strong compliance culture across the organisation, balancing commercial objectives with regulatory integrity
Key Requirements
- Proven experience as a Head of Compliance/Senior Compliance professional within a Lloyd's Broker, Wholesale Broker, MGA, or London Market firm
- Approved or approvable as SMF16 by the FCA
- Compliance framework experience
- Ability to operate credibly at board level and influence senior stakeholders
- Pragmatic, commercial approach combined with strong regulatory judgement
Why Join
- Opportunity to shape and future-proof the compliance function of a growing wholesale Lloyd's Broker
- High-profile role with genuine influence over governance, risk and regulatory strategy
- Supportive transition period alongside an experienced incumbent
- Competitive remuneration
Our Diversity, Equity and Inclusion Mission: At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
Head of Compliance SMF16 in London employer: IDEX Consulting
Contact Detail:
IDEX Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance SMF16 in London
✨Tip Number 1
Network like a pro! Reach out to industry contacts and attend relevant events. 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 researching the company and its compliance framework. Show them you understand their challenges and how you can help strengthen their compliance function.
✨Tip Number 3
Don’t just wait for job postings; be proactive! Reach out directly to companies you admire, even if they’re not advertising roles. A well-timed email can open doors.
✨Tip Number 4
Apply through our website for the best chance of landing that role. We want to see your application and help you get noticed by the right people!
We think you need these skills to ace Head of Compliance SMF16 in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience in compliance frameworks, especially within the Lloyd's Broker or wholesale distribution model. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this senior role. Share specific examples of how you've strengthened compliance frameworks and influenced senior stakeholders in the past.
Showcase Your Regulatory Knowledge: We’re looking for someone who knows their stuff when it comes to FCA compliance. Make sure to mention any relevant regulatory developments you’ve navigated and how you’ve advised boards or senior management on these matters.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity. We can’t wait to hear from you!
How to prepare for a job interview at IDEX Consulting
✨Know Your Compliance Stuff
Make sure you brush up on the latest FCA regulations and compliance frameworks relevant to the Lloyd's market. Being able to discuss specific regulatory changes and how they impact the business will show that you're not just familiar with the role, but also genuinely engaged with the industry.
✨Prepare for Strategic Discussions
Since this role involves advising the board, think about how you would approach strategic compliance issues. Prepare examples of how you've successfully influenced senior stakeholders in the past, and be ready to discuss your vision for strengthening compliance in a growing firm.
✨Showcase Your Leadership Skills
As a Head of Compliance, you'll need to mentor and develop your team. Be prepared to share your leadership philosophy and provide examples of how you've built a strong compliance culture in previous roles. Highlight any initiatives you've led that improved compliance awareness across an organisation.
✨Demonstrate Your Analytical Skills
The job requires conducting a comprehensive gap analysis of the compliance framework. Think about how you would approach this task and be ready to discuss methodologies you've used in the past. Showing that you can identify strengths and weaknesses in compliance processes will set you apart.
