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For Companies At a Glance
- Tasks: Ensure compliance and manage regulatory frameworks in a dynamic investment firm.
- Company: Ambitious retail investment management firm prioritising compliance.
- Benefits: Competitive salary, hybrid work model, and potential partnership opportunity.
- Why this job: Join a hands-on role with real impact and career growth potential.
- Qualifications: Senior compliance experience in retail investment management is preferred.
- Other info: Flexible working environment with a focus on collaboration and innovation.
The predicted salary is between 72000 - 84000 £ per year.
Part-time Head of Compliance & MLRO, SMF16 & 17 (3 days per week) Retail Investment Management
Location: London (Hybrid – 2 days in the London office, 1 day working from home)
Salary: £120k - £140k FTE
What’s in it for you?
The chance to join a small but ambitious firm that puts Compliance at the heart of its operations. This is a firm that really believes the Head of Compliance should be fully integrated into the business rather than sat in their ivory tower. As a result, once proven in the role, you’ll have the opportunity to become a Partner in the firm.
What you’ll be doing
- You’ll be responsible for ensuring the business operates compliantly, taking on responsibility for both Regulatory and Financial Crime Compliance for the firm.
- You’ll hold direct accountability for the design, implementation and ongoing maintenance of an effective Compliance framework, policies and monitoring plan that supports strategic objectives.
- You’ll adopt a balanced and reasoned approach to the interpretation and application of regulatory rules and guidance, ensuring the firm meets its investors’ needs, its regulatory requirements and its business objectives.
- You’ll also undertake horizon scanning to keep the leadership team abreast of any changing regulatory requirements, ensuring the business responds accordingly.
What do you need?
- You’ll be an experienced senior Compliance specialist familiar with operating at this level within the Retail Investment Management arena, ideally as an SMF16 although this is not essential.
- You’ll be familiar with the regulatory landscape impacting a retail investment management firm, including Consumer Duty.
- You’ll have a proven track record of senior stakeholder engagement, whilst excellent communication, negotiating and influencing skills are essential.
- You must also be happy working in a hands-on manner – you’ll never be far from the coalface.
Interested?
If so, click apply and send over your CV. Not got an up to date CV? Don’t worry, you can always give me (Mark) a call for a confidential discussion or email me letting me know that you’re interested. We’ll pick it up from there.
Part-time Head of Compliance & MLRO (SMF16 & 17) in City of London employer: Willow Resourcing Limited
Contact Detail:
Willow Resourcing Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Part-time Head of Compliance & MLRO (SMF16 & 17) in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and investment management sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company inside out. Understand their compliance framework and recent regulatory changes. This will help you demonstrate your knowledge and show that you’re genuinely interested in the role.
✨Tip Number 3
Showcase your hands-on experience! Be ready to discuss specific examples of how you've tackled compliance challenges in the past. This will highlight your practical skills and make you stand out as a candidate who can hit the ground running.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, if you have any questions, feel free to reach out to Mark for a chat – he’s here to help you land that dream job!
We think you need these skills to ace Part-time Head of Compliance & MLRO (SMF16 & 17) in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV reflects the skills and experience that match the Head of Compliance role. Highlight your familiarity with regulatory landscapes and any relevant achievements in compliance to grab our attention!
Craft a Compelling Cover Letter: Use your cover letter to tell us why you’re the perfect fit for this part-time role. Share your passion for compliance and how you can contribute to our ambitious firm, making it clear that you understand our values.
Showcase Your Communication Skills: Since excellent communication is key for this role, ensure your application is clear and concise. Use straightforward language and structure your thoughts logically to demonstrate your ability to engage with stakeholders effectively.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you don’t miss out on any important updates from our team!
How to prepare for a job interview at Willow Resourcing Limited
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulatory requirements, especially those affecting retail investment management. Familiarise yourself with Consumer Duty and be ready to discuss how these regulations impact the firm's operations.
✨Show Your Hands-On Approach
This role requires a hands-on attitude, so be prepared to share examples of how you've engaged directly with compliance issues in the past. Highlight your experience in designing and implementing compliance frameworks that align with business objectives.
✨Engage with Stakeholders
Demonstrate your ability to communicate effectively with senior stakeholders. Prepare anecdotes that showcase your negotiating and influencing skills, as well as how you've successfully navigated complex discussions in previous roles.
✨Be Ready for Horizon Scanning
The firm values proactive compliance management, so come equipped with insights on emerging regulatory trends. Discuss how you've previously kept leadership informed about changes in the regulatory landscape and how you adapted strategies accordingly.
