Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance efforts in a dynamic trading environment, ensuring regulatory adherence and policy updates.
- Company: Join MERJE, a trusted talent solutions provider connecting top candidates with exciting career opportunities since 2011.
- Benefits: Enjoy a hybrid work model and the chance to thrive in a fast-paced, commercial setting.
- Why this job: This role offers a unique chance to influence compliance strategy and work with industry leaders.
- Qualifications: Must have experience as an SMF16/17 in trading or broking, with strong communication skills.
- Other info: Applicants must be eligible to work in the UK without sponsorship.
The predicted salary is between 43200 - 72000 £ per year.
MERJE is partnering with an established trading/broking firm in their search for a UK Head of Compliance. This is a fantastic opportunity for someone who enjoys working in a fast-paced, commercial environment and has a proven track record of operating as an SMF16 within a similar business.
Key Responsibilities
- Provision of technical advice, support & regulatory guidance
- Liaise with FCA and other international regulatory bodies, managing audits, reporting, and regulatory submissions
- Maintain and update compliance policies, manuals, conflicts registers, and ensure alignment with changing laws and regulations
- Development & completion of the annual compliance monitoring programme
- Review and sign off of financial promotions
- Review and implementation of compliance policies & procedures
- Completion of due diligence requests
- Completion of ad hoc investigations, reviews and regulator requests for information
Background/Experience
- Operated as an SMF16/17 in a trading or broking environment
- Good interpersonal and relationship building skills including the ability to interact with and influence at all levels of an organization
- Team-oriented and collaborative, with the ability to work independently
- Strong communication and stakeholder management skills
Applicants must be located and eligible to work in the UK without sponsorship.
MERJE is a widely trusted specialist talent solutions provider. Since 2011, we’ve been pairing the best candidates with the most suitable career opportunities.
Boost your career
Find thousands of job opportunities by signing up to eFinancialCareers today.
#J-18808-Ljbffr
Head of Compliance - Trading/Broking | London, UK | Hybrid employer: MERJE Ltd
Contact Detail:
MERJE Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - Trading/Broking | London, UK | Hybrid
✨Tip Number 1
Network with professionals in the trading and broking industry. Attend relevant events or webinars where you can meet people who work in compliance roles. This can help you gain insights into the company culture and potentially get a referral.
✨Tip Number 2
Familiarise yourself with the latest FCA regulations and compliance trends specific to trading and broking. Being well-versed in current regulations will not only boost your confidence but also demonstrate your commitment to the role during interviews.
✨Tip Number 3
Prepare to discuss your experience as an SMF16/17 in detail. Be ready to share specific examples of how you've successfully managed compliance issues, liaised with regulatory bodies, and implemented policies in previous roles.
✨Tip Number 4
Showcase your interpersonal skills by preparing for behavioural interview questions. Think of scenarios where you've influenced stakeholders or collaborated with teams to achieve compliance objectives, as these are crucial for the Head of Compliance role.
We think you need these skills to ace Head of Compliance - Trading/Broking | London, UK | Hybrid
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience as an SMF16/17 in a trading or broking environment. Emphasise your technical advice capabilities and any relevant regulatory guidance you've provided.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention specific experiences that demonstrate your ability to manage audits and liaise with regulatory bodies like the FCA.
Showcase Your Interpersonal Skills: Since strong communication and relationship-building skills are crucial for this role, include examples of how you've successfully influenced stakeholders at various levels in your previous positions.
Highlight Compliance Knowledge: Detail your experience with compliance policies, monitoring programmes, and due diligence requests. This will show that you are well-versed in maintaining and updating compliance frameworks in line with changing regulations.
How to prepare for a job interview at MERJE Ltd
✨Know Your Regulations
As a Head of Compliance, you'll need to demonstrate a solid understanding of the FCA regulations and other international compliance standards. Brush up on recent changes in laws and be prepared to discuss how they impact the trading/broking environment.
✨Showcase Your Experience
Highlight your previous experience as an SMF16/17 in a similar setting. Be ready to provide specific examples of how you've successfully managed audits, regulatory submissions, and compliance policies in your past roles.
✨Demonstrate Interpersonal Skills
This role requires strong relationship-building skills. Prepare to discuss how you've effectively interacted with stakeholders at all levels and influenced decision-making processes within your organisation.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think of examples where you've had to navigate complex compliance issues or manage conflicts, and be ready to explain your thought process.
