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- Tasks: Lead compliance efforts and ensure regulatory adherence in a dynamic financial services environment.
- Company: Join a large, innovative financial services company in Central London.
- Benefits: Competitive salary, professional development, and a collaborative culture.
- Why this job: Make a real impact by fostering a culture of integrity and compliance.
- Qualifications: Senior compliance experience in financial advice, with strong leadership skills.
- Other info: Exciting opportunities for career growth in a tech-led environment.
The predicted salary is between 48000 - 72000 £ per year.
Waterhouse-Kern Associates is proud to be working with a large Financial Services company in Central London to find them a new Head of Compliance (SMF16). You will play a crucial role in ensuring regulatory compliance and driving a culture of integrity. You will be part of a fast-paced, tech-led and innovative environment. If you are passionate about compliance and thrive in a collaborative setting, we would love to hear from you.
The Head of Compliance (SMF16) will play a critical role in ensuring that our client operates within the framework of all applicable regulations and standards. This is a senior role and will involve designing, implementing and managing a robust compliance framework that supports our strategic objectives while mitigating regulatory risks. The successful candidate will act as the primary contact with regulatory bodies and oversee all aspects of compliance, including monitoring, reporting and advisory functions.
Key Responsibilities- Assume responsibility for the firm’s compliance with the regulatory framework, fulfilling the SMF16 function under the Senior Managers and Certification Regime (SMCR)
- Develop, implement and maintain the firm’s compliance policies, procedures, and systems to ensure alignment with relevant laws and regulations (e.g., FCA Handbook)
- Provide expert advice and guidance to the Board, senior management and business units on compliance matters
- Monitor regulatory developments and assess their impact on the organisation, ensuring timely updates to policies and practices
- Foster a culture of compliance awareness and accountability across the organisation
- Conduct regular compliance monitoring reviews, identify gaps and implement remedial actions
- Act as the primary liaison with regulatory bodies, including preparing and submitting reports, handling inspections and responding to inquiries
- Oversee regulatory training programs for employees to enhance understanding of compliance obligations
- Collaborate with internal audit, risk management and other control functions to ensure a coordinated approach to governance
- Prepare and present compliance reports to the Board and relevant committees
- Work with the wider Group Risk and Compliance functions
- Oversee financial advice propositions and work with core financial advice teams, including wealth planning and digital advice
- Support merger and acquisitions workstreams on all compliance related topics
- Oversee and support training and competence functions in the delivery of effective competence across regulated financial advice and non-regulated financial coaching
- Own and maintain compliance with the Senior Managers and Certification Regime, ensuring group companies continue to apply the scheme effectively
- Oversee and contribute to the firm’s financial promotions framework
- Proven experience in a senior compliance role in Financial Advice - specifically with exposure to Investments and Pensions
- Extensive knowledge of UK regulatory requirements, including the FCA frameworks
- Strong understanding of the Senior Managers and Certification Regime (SMCR)
- Exceptional leadership and management skills with the ability to influence stakeholders at all levels
- Analytical mindset with a proactive approach to problem-solving and risk mitigation
- Excellent communication and interpersonal skills
- A relevant professional qualification (e.g., ICA, CISI or legal qualifications) is desirable
- Proven experience working with MIFIDPRU and UCITS firms, including expertise in discretionary fund management
- Qualified to a minimum CII Level 4 (or equivalent Pension and Investment Advice qualification) with previous experience in Training & Competency supervision is required
Head of Compliance in London employer: Waterhouse-Kern Associates
Contact Detail:
Waterhouse-Kern Associates 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! Get out there and connect with people in the compliance field. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook and SMCR. Be ready to discuss how you’ve tackled compliance challenges in the past. We want to see your analytical mindset and proactive approach in action!
✨Tip Number 3
Showcase your leadership skills! In your conversations, highlight how you've influenced stakeholders and fostered a culture of compliance in previous roles. We love candidates who can inspire others and drive change.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we’re always looking for passionate individuals who thrive in a collaborative setting, just like you!
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 is tailored to the Head of Compliance role. Highlight your experience in regulatory compliance and any relevant qualifications. We want to see how your background aligns with the job description!
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 you can contribute to our culture of integrity. Keep it engaging and relevant to the role.
Showcase Your Leadership Skills: Since this is a senior role, don’t forget to showcase your leadership experience. Share examples of how you've influenced stakeholders and driven compliance initiatives in previous positions.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates!
How to prepare for a job interview at Waterhouse-Kern Associates
✨Know Your Regulations Inside Out
Make sure you’re well-versed in the UK regulatory requirements, especially those related to the FCA frameworks. Brush up on the Senior Managers and Certification Regime (SMCR) as it’s crucial for the Head of Compliance role. Being able to discuss these regulations confidently will show your expertise.
✨Showcase Your Leadership Skills
Prepare examples that highlight your leadership and management experience. Think about times when you influenced stakeholders or drove a culture of compliance within your previous teams. This will demonstrate your ability to lead in a fast-paced, tech-led environment.
✨Be Ready to Discuss Compliance Frameworks
Familiarise yourself with how to design and implement compliance policies and procedures. Be prepared to discuss your approach to monitoring and reporting, and how you’ve previously identified gaps and implemented solutions. This shows you can manage a robust compliance framework effectively.
✨Engage with Real-World Scenarios
Think of specific scenarios where you acted as a liaison with regulatory bodies or handled compliance-related challenges. Discussing these experiences will not only showcase your problem-solving skills but also your proactive approach to risk mitigation, which is key for this role.
