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- Tasks: Lead the Compliance Development team and ensure AR Firms meet business standards.
- Company: Join a dynamic financial services company focused on compliance and operational excellence.
- Benefits: Enjoy a hybrid work model with flexibility and opportunities for professional growth.
- Why this job: Make a real impact by supporting compliance and fostering team development in a collaborative environment.
- Qualifications: Experience in compliance or financial services is essential; leadership skills are a plus.
- Other info: This role involves some UK travel and regular office visits in Basildon.
The predicted salary is between 30000 - 70000 £ per year.
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Headhunter/ Recruiter/ Company Growth Specialist – Financial Services/ Lending/ Challenger Banks/ FinTech/ Brokers/ Networks
Deputy Head of Compliance
Basildon
This role is to manage the Compliance Development team, ensuring all AR Firms meet the required competency and business operating standards. This includes supporting all AR firms to operate within the network systems and controls, holding them accountable for compliance in dealings with end customers.
Responsibilities include providing direct support to recruitment and induction processes, along with cooperation in audit/investigation activities.
As deputy manager, you will also be accountable for all first line supervisory activity of the Network and represent the business function internally and externally in the absence of the Head of Compliance Operations.
Key responsibilities:
- Deliver agreed performance targets
- Support team members’ development and wellbeing
- Provide support to: Recruitment Team, Induction delivery, Audit investigations, and targeted support for member firms as required
- Maximize retention of AR network members
- Network Oversight (as Deputy)
- Management Information (as Deputy)
- Provider Relationship Management (as Deputy)
- Compliance Operations Team Management (as Deputy)
These responsibilities will be the primary focus of the role, and performance will be measured against them. Additional activities may be assigned to support the team/company overall, as defined by your line manager.
This is a hybrid role, involving some UK travel and visits to the Basildon office two to three days each week.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Customer Service
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Deputy Head of Compliance employer: KFS Recruitment
Contact Detail:
KFS Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Deputy Head of Compliance
✨Tip Number 1
Familiarize yourself with the latest compliance regulations in the financial services sector. Understanding the current landscape will not only help you in interviews but also demonstrate your commitment to staying informed and compliant.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in managing teams or working with AR firms. This can provide you with valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss your experience in team management and development. Highlight specific examples where you've successfully supported team members' growth and wellbeing, as this is a key aspect of the role.
✨Tip Number 4
Be ready to showcase your skills in relationship management. Think of instances where you've effectively managed provider relationships or navigated compliance challenges, as these experiences will be crucial for the Deputy Head of Compliance position.
We think you need these skills to ace Deputy Head of Compliance
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Deputy Head of Compliance position. Understand the key responsibilities and required competencies, as this will help you tailor your application.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance management, team leadership, and any relevant financial services background. Use specific examples to demonstrate how you've met similar performance targets in previous roles.
Showcase Your Skills: Clearly outline your skills related to recruitment, induction processes, and audit investigations. Mention any tools or systems you are familiar with that could be beneficial for the role.
Tailor Your Cover Letter: Write a personalized cover letter that addresses the specific needs of the company. Discuss how your values align with their mission and how you can contribute to the development and wellbeing of the team.
How to prepare for a job interview at KFS Recruitment
✨Understand Compliance Standards
Make sure you have a solid grasp of the compliance standards relevant to financial services. Be prepared to discuss how you would ensure that AR firms meet these standards and what strategies you would implement to support them.
✨Showcase Leadership Skills
As a Deputy Head, you'll need to demonstrate your leadership abilities. Prepare examples of how you've successfully managed teams in the past, focusing on development, wellbeing, and performance targets.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past experiences where you had to handle audits or investigations and be ready to explain your approach.
✨Highlight Your Communication Skills
Since this role involves representing the business internally and externally, emphasize your communication skills. Be ready to discuss how you would effectively communicate compliance requirements to various stakeholders.
