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- Tasks: Lead compliance efforts, ensuring adherence to FCA regulations and ethical practices.
- Company: Join a dynamic London-based financial services institution making waves in the FinTech sector.
- Benefits: Enjoy hybrid working options and a chance to shape compliance culture.
- Why this job: Be a key player in safeguarding reputation and operational integrity while advising top management.
- Qualifications: Experience in compliance within financial services, with strong knowledge of FCA regulations required.
- Other info: Immediate availability is essential; previous SMF16/SMF17 experience preferred.
The predicted salary is between 72000 - 108000 £ per year.
Consultant – Acting Head of Compliance (SMF 16/17)
Key consulting role in a London-based financial services institution. The Head of Compliance will oversee and manage the UK compliance function, ensuring adherence to FCA regulations and other applicable laws. This role is critical in safeguarding the company's reputation and operational integrity, providing strategic leadership on compliance matters, and fostering a culture of ethical business practices.
- Liaise and report to relevant regulatory bodies as required by applicable regulations.
- Act as an adviser to the company's Board of Directors and Senior Management on compliance issues.
- Maintain an up-to-date understanding of relevant business practices and regulation application.
- Ensure local operations comply with relevant regulations and documentation is maintained.
- Train staff on regulatory requirements and ensure compliance with training regimes.
- Advise staff on regulatory issues as needed.
- Conduct regular monitoring to ensure compliance with rules and regulations, including client due diligence procedures.
- Address and resolve compliance issues.
- Investigate compliance concerns as required.
- Assess the company's compliance status and report to senior management and the Board periodically.
Requirements:
- Experience in a similar compliance role within financial services, preferably FinTech.
- Deep knowledge of FCA regulations and UK financial laws.
- Experience developing and implementing compliance programs.
- Strong analytical, problem-solving, and communication skills.
- High ethical standards and professionalism.
- Leadership and team management skills.
- Bachelor’s degree in Law, Finance, Business Administration, or related field.
- Previous SMF16/SMF17 role.
Urgently seeking immediate availability only.
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Head of Compliance (SMF 16/17) | London, UK | Hybrid (London) employer: Non-disclosed
Contact Detail:
Non-disclosed Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance (SMF 16/17) | London, UK | Hybrid (London)
✨Tip Number 1
Network with professionals in the financial services sector, especially those who have experience in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in FCA regulations.
✨Tip Number 2
Stay updated on recent changes in FCA regulations and UK financial laws. Subscribe to relevant newsletters or follow regulatory bodies on social media to ensure you have the most current information, which will be crucial during interviews.
✨Tip Number 3
Prepare to discuss your previous experiences in developing and implementing compliance programmes. Be ready to provide specific examples of how you've successfully navigated compliance challenges in past roles, particularly in FinTech.
✨Tip Number 4
Demonstrate your leadership skills by preparing to talk about how you've trained and managed teams in compliance matters. Highlight any initiatives you've led that fostered a culture of ethical business practices within your organisation.
We think you need these skills to ace Head of Compliance (SMF 16/17) | London, UK | Hybrid (London)
Some tips for your application 🫡
Understand the Role: Before applying, make sure to thoroughly understand the responsibilities and requirements of the Head of Compliance position. Familiarise yourself with FCA regulations and the specific compliance challenges faced by financial services institutions.
Tailor Your CV: Craft your CV to highlight relevant experience in compliance roles, particularly within financial services or FinTech. Emphasise your knowledge of FCA regulations and any previous SMF16/SMF17 roles you've held.
Write a Compelling Cover Letter: In your cover letter, demonstrate your strategic leadership capabilities and how you can foster a culture of ethical business practices. Provide examples of how you've successfully managed compliance issues in the past.
Showcase Your Skills: Highlight your analytical, problem-solving, and communication skills in both your CV and cover letter. Mention any experience in training staff on regulatory requirements and your ability to liaise with regulatory bodies.
How to prepare for a job interview at Non-disclosed
✨Demonstrate Your Regulatory Knowledge
Make sure to brush up on FCA regulations and UK financial laws before the interview. Be prepared to discuss how your experience aligns with these regulations and provide examples of how you've successfully navigated compliance challenges in the past.
✨Showcase Leadership Skills
As a Head of Compliance, you'll need to demonstrate strong leadership abilities. Prepare to share specific instances where you've led a team or project, highlighting your approach to fostering a culture of compliance and ethical business practices.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills. Think about potential compliance issues that could arise in a financial services context and how you would address them. This will show your analytical thinking and ability to handle real-world challenges.
✨Ask Insightful Questions
At the end of the interview, have a few thoughtful questions ready to ask the interviewers. Inquire about the company's current compliance challenges or their vision for the compliance function. This demonstrates your genuine interest in the role and helps you gauge if the company is the right fit for you.
