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- 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, competitive salary, and the chance to shape compliance strategies.
- Why this job: Be part of a fast-paced team, influence key decisions, and make a real impact in the industry.
- 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.
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Head of Compliance - Trading/Broking | London, UK | Hybrid (London) 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 (London)
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance requirements specific to trading and broking. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a fast-paced environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience as an SMF16 or SMF17. Engaging in conversations with them can provide valuable insights and potentially lead to referrals within the industry.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed audits and regulatory submissions in your previous roles. Highlighting your hands-on experience will set you apart from other candidates.
✨Tip Number 4
Showcase your interpersonal skills by preparing to discuss how you've built relationships with stakeholders at various levels. Being able to illustrate your collaborative approach will resonate well with hiring managers looking for a team-oriented leader.
We think you need these skills to ace Head of Compliance - Trading/Broking | London, UK | Hybrid (London)
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Head of Compliance position. Familiarise yourself with the key tasks such as liaising with regulatory bodies and maintaining compliance policies.
Tailor Your CV: Highlight your experience as an SMF16/17 in a trading or broking environment. Emphasise your interpersonal skills and any relevant achievements that demonstrate your ability to manage compliance effectively.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your understanding of the fast-paced trading environment. Mention specific examples of how you've successfully navigated regulatory challenges in the past.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at MERJE Ltd
✨Understand the Regulatory Landscape
Familiarise yourself with the latest regulations and compliance requirements relevant to trading and broking. Being able to discuss recent changes and their implications will demonstrate your expertise and proactive approach.
✨Showcase Your SMF16 Experience
Prepare specific examples from your previous roles where you successfully operated as an SMF16. Highlight your achievements in managing audits, liaising with regulatory bodies, and implementing compliance policies.
✨Demonstrate Strong Interpersonal Skills
Since the role requires excellent relationship-building skills, be ready to share instances where you've effectively influenced stakeholders at various levels. This will show that you can navigate complex organisational dynamics.
✨Prepare for Scenario-Based Questions
Anticipate questions that may require you to solve hypothetical compliance issues or manage conflicts. Practising your responses will help you articulate your thought process and decision-making skills under pressure.
