At a Glance
- Tasks: Lead compliance oversight and enhance monitoring frameworks in financial markets.
- Company: Dynamic exchange and clearing group with a focus on regulatory excellence.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Opportunity to work with cutting-edge technology and drive impactful change.
- Why this job: Be a key player in shaping compliance strategies and influencing regulatory policies.
- Qualifications: Extensive experience in regulatory compliance and strong data analytics skills.
The predicted salary is between 80000 - 100000 £ per year.
A senior compliance oversight opportunity covering 2nd line controls and testing within this exchange, clearing and market data group.
The successful candidate will also be a key intermediary to regulators, especially the FCA and Bo E on policy implementation.
Responsibilities
- Design, implement, and enhance a risk-based monitoring and testing framework across 2LOD, ensuring alignment with regulatory expectations and internal governance standards.
- Manage and maintain Group Compliance monitoring and testing, including risk control identification and the annual monitoring plan
- Deliver end-to-end monitoring and testing activities, covering control design, operational effectiveness, and thematic reviews across key regulatory and risk areas.
- Partner with business, risk, and compliance teams to ensure effective remediation of findings and continuous improvement of controls.
- Develop and execute data-driven testing strategies, utilising advanced analytics to increase coverage, efficiency, and accuracy of assurance activities.
- Work closely and cooperatively with the business, to ensure that all business, operational and technology areas have a clear understanding and ownership of their compliance obligations.
- Provide support and training for the business on compliance obligations as necessary.
- Knowledge and Experience Required
- Extensive experience of working within regulatory compliance related roles within a Financial Markets environment
- Knowledge of existing UK compliance requirements applicable to testing of controls and procedures.
- Demonstrated experience in delivering cross-functional monitoring and testing programmes spanning multiple risk domains.
- Strong data analytics skills, with the ability to analyse large and complex datasets to identify trends, anomalies, and risks; design and implement data-led testing
- Proficiency in tools such as SQL, Excel (advanced), Power BI, Tableau, Python, or similar analytics platforms (or equivalent experience) is preferred.
- Familiarity with the regulatory landscape relating to exchanges and clearing houses including EMIR, Mi FID, MAR, Benchmarks Regulation and FCA Recognition
- Requirements for Recognised Investment Exchanges (REC) is highly desirable
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Head of Compliance Assurance, Financial Markets employer: Roly Recruitment
Roly Recruitment is an excellent employer, offering a vibrant work culture in the heart of London that fosters innovation and collaboration. Employees benefit from comprehensive professional development opportunities, competitive compensation, and a supportive team environment that values each individual's contributions to the trading and logistics of refined metals. Join us to be part of a forward-thinking company that prioritises your growth and success in a dynamic industry.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance Assurance, Financial Markets
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Roly Recruitment looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance Assurance, Financial Markets
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Roly Recruitment. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Roly Recruitment
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Roly Recruitment’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
