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For Companies At a Glance
- Tasks: Lead compliance efforts and ensure regulatory adherence in capital markets.
- Company: Join a dynamic securities brokerage in the heart of London.
- Benefits: Enjoy a full-time role with competitive salary and growth opportunities.
- Why this job: Shape compliance strategies and engage with top leadership in a fast-paced environment.
- Qualifications: 10+ years in compliance, preferably in capital markets or investment banking.
- Other info: Legal background is a plus but not mandatory.
The predicted salary is between 72000 - 108000 £ per year.
A securities brokerage in London is seeking an experienced Head of Compliance to establish and lead its compliance function. This is a senior role with direct engagement with the leadership team, ensuring the firm meets all regulatory requirements in capital markets.
Key Responsibilities
- Develop and implement a compliance framework tailored to capital markets, ensuring adherence to UK and international regulations.
- Advise senior management on regulatory obligations and evolving capital markets requirements.
- Oversee regulatory reporting and maintain relationships with regulators.
- Conduct risk assessments and implement internal controls specific to capital markets activities.
- Lead compliance training and policy development.
- Hold SMF16&17.
Requirements
- At least 10 years+ of compliance experience, with relevant in-house experience in capital markets/investment banking.
- In-depth knowledge of UK financial regulations (FCA, MiFID II, etc.).
- Proven ability to develop compliance programmes and manage regulatory risks in capital markets.
- Strong leadership and communication skills, with experience engaging with regulators and senior stakeholders.
- A legal background is desirable though not essential.
If you are interested please click apply.
Seniority level: Director
Employment type: Full-time
Job function: Other
Industries: Legal Services, Securities and Commodity Exchanges, and Financial Services
Head of Compliance employer: Marsden
Contact Detail:
Marsden Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Network with professionals in the compliance and capital markets sectors. Attend industry events, webinars, or conferences to meet potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Stay updated on the latest UK financial regulations and compliance frameworks. Subscribe to relevant newsletters or follow regulatory bodies on social media to ensure you are well-informed about any changes that may impact your role.
✨Tip Number 3
Prepare to discuss your experience in developing compliance programmes and managing regulatory risks. Be ready to provide specific examples of how you've successfully navigated complex regulatory environments in your previous roles.
✨Tip Number 4
Demonstrate your leadership skills by sharing instances where you've led teams or projects in compliance. Highlight your ability to communicate effectively with senior management and regulators, as this will be crucial for the Head of Compliance role.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive compliance experience, particularly in capital markets and investment banking. Use specific examples to demonstrate your knowledge of UK financial regulations like FCA and MiFID II.
Craft a Compelling Cover Letter: In your cover letter, emphasise your leadership skills and experience in developing compliance programmes. Mention your ability to engage with regulators and senior stakeholders, as this is crucial for the role.
Highlight Relevant Achievements: Include specific achievements related to compliance frameworks and risk assessments in your application. Quantify your successes where possible, such as improvements in compliance metrics or successful regulatory audits.
Proofread Your Application: Before submitting, carefully proofread your application for any errors or inconsistencies. A polished application reflects your attention to detail, which is essential for a compliance role.
How to prepare for a job interview at Marsden
✨Showcase Your Compliance Expertise
Make sure to highlight your extensive experience in compliance, particularly within capital markets. Be prepared to discuss specific regulations like FCA and MiFID II, and how you've successfully navigated them in previous roles.
✨Demonstrate Leadership Skills
As a Head of Compliance, you'll need strong leadership abilities. Share examples of how you've led teams or projects, especially in developing compliance frameworks or training programmes. This will show your capability to manage and inspire others.
✨Engage with Regulatory Knowledge
Prepare to discuss your understanding of regulatory obligations and how they evolve. You might be asked about recent changes in regulations, so staying updated on industry news will help you answer confidently and demonstrate your proactive approach.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think of examples where you've conducted risk assessments or implemented internal controls, and be ready to explain your thought process and outcomes.
