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For Companies At a Glance
- Tasks: Lead compliance strategy and ensure regulatory adherence in a fast-paced brokerage.
- Company: Join a successful global brokerage known for its dynamic growth and market leadership.
- Benefits: Enjoy a pivotal role with opportunities for career advancement and a supportive team culture.
- Why this job: Make a significant impact on regulatory strategy while working in an ambitious, high-performance environment.
- Qualifications: Extensive compliance experience in FCA-regulated environments; leadership skills are essential.
- Other info: This is an in-office role, operating from 8 am to 6 pm.
The predicted salary is between 72000 - 108000 £ per year.
Our client is a fast-growing and highly successful global brokerage. They are seeking a Head of Compliance (SMF16 & SMF17) to lead and strengthen the firm’s compliance framework in a fast-paced, high-performance environment. This is a pivotal leadership role with significant influence over regulatory strategy and business operations.
Key Responsibilities
- Hold SMF16 (Compliance Oversight) and SMF17 (MLRO) responsibilities under the FCA Senior Managers Regime
- Lead and develop the firm’s compliance framework to ensure full FCA regulatory compliance, including KYC, AML, FOS, and TCF requirements
- Act as the primary contact for all compliance matters, including external regulatory bodies and internal stakeholders
- Oversee all aspects of regulatory reporting, monitoring programmes, and policy implementation
- Provide strategic guidance to the executive team on regulatory risks and developments
- Ensure robust governance across retail and institutional operations, with a particular focus on CFDs, oil swaps, derivatives, and CASS
- Lead and mentor the compliance team to drive operational excellence and a strong culture of compliance
Key Requirements
- Extensive compliance experience in a retail brokerage or FCA-regulated environment
- Approved or eligible for SMF16 and SMF17 functions
- Proven leadership and team management skills
- Strong communication and influencing abilities at senior stakeholder level
- Comfortable operating in a high-intensity, 8 am–6 pm office-based role
Why Join?
- Join a global market-leading firm
- Lead the compliance agenda in a dynamic and fast-paced environment
- Play a critical role in regulatory engagement and risk management
- Be part of a highly ambitious team with global growth plans
This is an exceptional opportunity for a senior compliance professional to take ownership of the compliance function within a thriving, globally recognised brokerage.
Head Of Compliance | London, UK | In-Office employer: MW recruitment
Contact Detail:
MW recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head Of Compliance | London, UK | In-Office
✨Tip Number 1
Familiarise yourself with the FCA Senior Managers Regime, particularly the responsibilities associated with SMF16 and SMF17. Understanding these roles will not only help you in interviews but also demonstrate your commitment to compliance leadership.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in retail brokerage or FCA-regulated environments. Engaging with industry peers can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Stay updated on the latest regulatory changes and trends affecting the brokerage industry. Being knowledgeable about current issues will allow you to speak confidently about how you can contribute to the firm's compliance framework.
✨Tip Number 4
Prepare to discuss your leadership style and how you've successfully managed compliance teams in the past. Highlighting your ability to mentor and drive a culture of compliance will resonate well with the hiring team.
We think you need these skills to ace Head Of Compliance | London, UK | In-Office
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive compliance experience, particularly in retail brokerage or FCA-regulated environments. Emphasise your leadership skills and any relevant qualifications for SMF16 and SMF17.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss how your background aligns with the key responsibilities outlined in the job description, especially your experience with KYC, AML, and regulatory reporting.
Highlight Leadership Experience: Since this is a pivotal leadership role, be sure to provide specific examples of how you've led teams and influenced compliance strategies in previous positions. Use metrics or outcomes to demonstrate your impact.
Showcase Communication Skills: Given the importance of communication at senior stakeholder levels, include examples of how you've effectively communicated complex compliance issues to various audiences. This will show your ability to influence and guide executive teams.
How to prepare for a job interview at MW recruitment
✨Understand the Regulatory Landscape
Familiarise yourself with the latest FCA regulations and compliance requirements relevant to the brokerage industry. Being able to discuss recent changes and their implications will demonstrate your expertise and readiness for the role.
✨Showcase Leadership Experience
Prepare examples of how you've successfully led compliance teams in the past. Highlight specific instances where your leadership directly contributed to improved compliance frameworks or risk management strategies.
✨Communicate Effectively
Practice articulating complex compliance concepts in a clear and concise manner. Your ability to communicate effectively with senior stakeholders is crucial, so be ready to demonstrate this skill during the interview.
✨Prepare for Scenario-Based Questions
Anticipate questions that may require you to solve hypothetical compliance challenges. Think through your approach to issues like KYC or AML compliance and be prepared to explain your thought process and decision-making criteria.
