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- Tasks: Lead compliance efforts and manage regulatory risks in a dynamic financial services environment.
- Company: Join a top-tier financial services firm known for high performance and employee engagement.
- Benefits: Enjoy a collaborative culture with direct access to senior management and boards.
- Why this job: Make a real impact by shaping compliance strategies and nurturing a strong compliance culture.
- Qualifications: Bring extensive knowledge of financial regulations and experience in compliance assurance.
- Other info: Ideal for those passionate about mentoring and developing future leaders in compliance.
Our Client is an internationally respected Corporate and Fiduciary services, Fund Administration and Capital Markets business, with offices across multiple jurisdictions and territories who are currently seeking a Head of Compliance to join an established team. Head of Compliance will cover all areas of statutory and regulatory compliance. You will be responsible for the development of local policies and procedures to improve services and to ensure they are followed, monitored and reviewed with the objective of providing services of the highest standard and quality at all time and any other such activities as may be reasonably required by the role. Duties will include: * Designated Compliance Officer, Money Laundering Regulatory Officer / Nominated Officer * Advisor to the board of directors, executive committee of directors, risk committee, managers and employees on issues of regulation, risk management, corporate governance, areas of best practice and internal policies and procedures * Be responsible for the day to day management of the team and effective management of workloads * Have an excellent understanding of the exposures to regulatory risk within a financial services organisation * Provide guidance and on-going training of the Compliance Team, cross training and development and ensuring cover where necessary * Ensure file reviews and audit checks are completed within service level agreements * Business acceptance – prepare summary of proposed business transactions to present to the relevant sub-committees of the board * KYC/Customer Due Diligence (CDD) analysis and advice * Identify, draft and update local policies and procedures as required based upon Group Minimum Standards * Ensure systems are in place for compliance monitoring * Oversee the maintenance of a variety of standard compliance registers * Responsible for the relationship with any local regulatory body * Ensure the compliance monitoring programs are fit for purpose and that monitoring activity is conducted on schedule in accordance with the compliance monitoring plan for the business * Design and deliver training on various aspects of regulations, internal policies and procedures, corporate governance, compliance and risk management, basic anti-money laundering provisions * Attend management meetings and prepare reports on various compliance and regulatory matters * Attend seminars and conferences to ensure knowledge of applicable regulations is up to date * Promote a positive compliance culture at all levels throughout the business * Principal contact for the local regulatory body The ideal candidate for the role of Head of Compliance will be: * 5 years' experience in a similar role. Educated to Diploma level or higher * An established leader / people manager * Excellent organisational, communication and interpersonal skills along with a commitment to working as part of a global team * Strong negotiation skills * Ability to delegate and develop others' base skill set * Successfully provides strategic support to practice areas * Strong technical skills in relation to compliance and data protection legislation are essential * Ability to produce management information and to deliver projects within given deadlines
Locations
Head Of Compliance employer: Orchard Recruitment Ltd
Contact Detail:
Orchard Recruitment Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head Of Compliance
✨Tip Number 1
Make sure to showcase your experience in compliance assurance reviews and monitoring during networking events. Engaging with industry professionals can help you gain insights and potentially get referrals for the Head of Compliance position.
✨Tip Number 2
Stay updated on the latest financial services regulations and legislation. This knowledge will not only prepare you for interviews but also demonstrate your commitment to the role and the industry.
✨Tip Number 3
Highlight your ability to engage with senior stakeholders in your conversations. Being able to communicate effectively with executives and boards is crucial for this role, so practice articulating your thoughts clearly and confidently.
✨Tip Number 4
Consider joining relevant trade bodies or forums related to compliance in financial services. This will not only expand your network but also provide opportunities to represent your expertise, which is a key aspect of the Head of Compliance role.
We think you need these skills to ace Head Of Compliance
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Head of Compliance position. Understand the key responsibilities and required qualifications, as this will help you tailor your application effectively.
Highlight Relevant Experience: In your CV and cover letter, emphasize your experience in compliance, particularly in financial services. Mention specific examples of how you've managed regulatory compliance risks and engaged with senior stakeholders.
Showcase Your Knowledge: Demonstrate your understanding of financial regulations and legislation relevant to the role. Include any professional qualifications or certifications that support your expertise in compliance and risk management.
Personalize Your Application: Address your cover letter to the hiring manager if possible, and explain why you are specifically interested in this role at this company. Mention how your values align with their commitment to high performance and staff engagement.
How to prepare for a job interview at Orchard Recruitment Ltd
✨Showcase Your Regulatory Knowledge
Make sure to highlight your detailed knowledge of financial services regulations and legislation during the interview. Be prepared to discuss specific examples of how you've identified and managed compliance risks in previous roles.
✨Demonstrate Leadership Skills
As a Head of Compliance, you'll need to influence at all levels. Share experiences where you've successfully engaged with senior stakeholders or led teams through regulatory changes, showcasing your ability to nurture a compliance culture.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Prepare examples that demonstrate your approach to compliance assurance reviews and how you’ve handled regulatory challenges in a multi-jurisdictional environment.
✨Emphasize Mentoring Experience
Since mentoring and developing colleagues is crucial for this role, be ready to discuss your experience in supporting team members' growth. Highlight any initiatives you've led to create capacity and resilience within your teams.
