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- Tasks: Lead compliance for a securities brokerage, ensuring adherence to UK regulations and developing strategies.
- Company: Join a dynamic securities brokerage in London, shaping compliance from the ground up.
- Benefits: Enjoy competitive salary, leadership opportunities, and a chance to influence company culture.
- Why this job: Be at the forefront of compliance in finance, making a real impact in a growing firm.
- Qualifications: 10+ years in compliance with capital markets experience; strong leadership and communication skills required.
- Other info: This is an MD level role with direct engagement with the leadership team.
The predicted salary is between 72000 - 108000 £ per year.
A securities brokerage in London is seeking a highly commercial and experienced Head of Compliance to establish and lead its compliance function. This is an MD level role with direct engagement with the leadership team and represents an excellent opportunity to shape and grow the function from inception.
Key Responsibilities
- Regulatory Oversight: Lead and oversee all aspects of compliance for the UK business, ensuring adherence to applicable laws, regulations, and industry standards, including FCA regulations and other relevant financial services laws.
- Compliance Strategy: Develop, implement, and continuously review the company’s compliance strategy.
- Regulatory Liaison: Serve as the main point of contact for regulatory bodies in the UK, including the FCA, and manage relationships with external auditors and other regulatory authorities.
- Risk Assessment: Conduct risk assessments and implement internal controls specific to capital markets activities.
- Training: Lead compliance training and policy development. Hold SMF16&17.
Requirements
- At least 10 years+ of compliance experience, with relevant in-house experience supporting capital markets/investment banking platforms.
- 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.
Head of Compliance - MD employer: Marsden
Contact Detail:
Marsden Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - MD
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events, webinars, or conferences where you can meet people who are already in similar roles or companies. This can help you gain insights into the role and potentially get referrals.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends in the UK financial market. Subscribe to relevant newsletters or follow key influencers on social media to ensure you’re well-informed and can discuss these topics during interviews.
✨Tip Number 3
Prepare to demonstrate your leadership skills and experience in managing compliance teams. Think of specific examples where you've successfully led initiatives or navigated complex regulatory challenges, as this will be crucial for a senior role like Head of Compliance.
✨Tip Number 4
Research StudySmarter’s values and culture to align your approach when engaging with us. Understanding our mission and how compliance plays a role in our operations can help you tailor your discussions and show that you’re a great fit for our team.
We think you need these skills to ace Head of Compliance - MD
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of the Head of Compliance position. Familiarise yourself with the key requirements and expectations outlined in the job description.
Tailor Your CV: Highlight your relevant compliance experience, particularly in capital markets and investment banking. Emphasise your knowledge of UK financial regulations and any leadership roles you've held that demonstrate your ability to manage compliance functions.
Craft a Compelling Cover Letter: Use your cover letter to showcase your passion for compliance and your strategic vision for the role. Discuss how your background aligns with the company's needs and how you can contribute to shaping their compliance function.
Proofread and Edit: Before submitting your application, carefully proofread your CV and cover letter. Ensure there are no spelling or grammatical errors, and that your documents present a professional image.
How to prepare for a job interview at Marsden
✨Showcase Your Regulatory Knowledge
Make sure to demonstrate your in-depth understanding of UK financial regulations, especially FCA and MiFID II. Prepare specific examples of how you've navigated compliance challenges in the past.
✨Highlight Leadership Experience
As this is an MD level role, it's crucial to showcase your leadership skills. Share instances where you've successfully led teams or initiatives, particularly in compliance or regulatory environments.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about potential risks in capital markets and how you would address them effectively.
✨Engage with the Interviewers
Since you'll be working closely with the leadership team, engage actively during the interview. Ask insightful questions about their current compliance strategies and express your vision for the function.
