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For Companies At a Glance
- Tasks: Lead compliance efforts and shape regulatory frameworks in a fast-paced financial services environment.
- Company: Dynamic FCA-regulated financial services organisation focused on growth and sustainability.
- Benefits: Competitive salary, career development opportunities, and a chance to influence business strategy.
- Other info: Join a collaborative team and navigate exciting challenges in a rapidly evolving industry.
- Why this job: Make a real impact by ensuring compliance while driving business success.
- Qualifications: Senior compliance leadership experience and strong knowledge of UK regulations required.
The predicted salary is between 80000 - 100000 £ per year.
A growing, FCA-regulated financial services organisation is looking to appoint a senior Compliance leader to support the continued evolution of its business. The organisation is evolving quickly, with a focus on building a scalable and sustainable operating model. You’ll play a key role in shaping how compliance supports that journey. This environment will suit someone who enjoys working at pace, taking ownership, and navigating complexity without excessive bureaucracy.
The Role
- You will take ownership of the compliance framework, ensuring regulatory obligations are met while enabling the business to operate effectively in a dynamic environment.
- This role requires strong technical expertise combined with commercial awareness, someone who can interpret regulation pragmatically and support business growth without compromising standards.
Key Responsibilities
- Act as SMF16 (or step into the responsibility), holding accountability for compliance under SMCR.
- Design, implement, and maintain compliance frameworks, policies, and controls.
- Provide guidance to senior stakeholders on regulatory matters and business initiatives.
- Oversee compliance monitoring, regulatory reporting, and engagement with relevant authorities.
- Maintain and enhance governance structures aligned to SMCR requirements.
- Support and oversee frameworks relating to employee competence and regulatory standards.
- Ensure regulatory compliance across a range of investment and advisory activities.
- Monitor regulatory developments and translate these into practical business application.
- Work closely with Risk, Audit, and other control functions to ensure a coordinated approach.
- Contribute to business change initiatives, including structural and operational developments.
About You
- Experience in a senior compliance leadership role within an FCA-regulated environment.
- Previous SMF16 responsibility, or readiness to step into the function.
- Strong knowledge of UK regulatory frameworks and governance expectations.
- Experience within investment and/or advisory-led financial services businesses.
- Understanding of capital, liquidity, and regulatory reporting requirements.
- UCITS and Mifid experience necessary.
- Experience supporting regulatory standards within customer-facing or advisory environments.
Head of Compliance in London employer: Morson Edge (Financial Services)
Contact Detail:
Morson Edge (Financial Services) Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the financial services sector, especially those who are already in compliance roles. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK regulatory frameworks. Be ready to discuss how you’ve navigated complex compliance issues in the past. We want to see that you can think on your feet and adapt to fast-paced environments!
✨Tip Number 3
Showcase your leadership skills! During interviews, highlight instances where you’ve taken ownership of compliance frameworks or led teams through regulatory changes. This is your chance to shine as a senior leader in compliance.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Head of Compliance in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the specific skills and experiences that align with the Head of Compliance role. Highlight your previous experience in FCA-regulated environments and any relevant SMF16 responsibilities to show us you’re the right fit.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about compliance and how your background can help us navigate the complexities of our evolving business. Keep it concise but impactful!
Showcase Your Technical Expertise: We want to see your strong technical knowledge in action. Be sure to include examples of how you've designed and implemented compliance frameworks or navigated regulatory challenges in your previous roles.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team!
How to prepare for a job interview at Morson Edge (Financial Services)
✨Know Your Regulations Inside Out
Make sure you brush up on the UK regulatory frameworks and governance expectations. Be ready to discuss how you've navigated these in your previous roles, especially in FCA-regulated environments. This will show that you’re not just familiar with the rules but can also apply them practically.
✨Showcase Your Leadership Skills
As a senior compliance leader, you'll need to demonstrate your ability to take ownership and lead teams effectively. Prepare examples of how you've designed and implemented compliance frameworks or policies in the past, and how those initiatives supported business growth without compromising standards.
✨Engage with Stakeholders
Be prepared to talk about your experience providing guidance to senior stakeholders on regulatory matters. Think of specific instances where your advice influenced business initiatives positively. This will highlight your commercial awareness and ability to communicate complex regulations clearly.
✨Stay Ahead of Regulatory Developments
Keep yourself updated on the latest regulatory changes and be ready to discuss how you would translate these into practical applications for the business. Showing that you can monitor developments and adapt strategies accordingly will demonstrate your proactive approach to compliance.