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- Tasks: Lead compliance efforts and manage risk assessments for a small investment management firm.
- Company: Join a dynamic Discretionary Investment Manager with £4bn AUM.
- Benefits: Enjoy hybrid working options and the chance to shape compliance strategies.
- Why this job: This is your chance to step up in your career and make a real impact.
- Qualifications: Must have senior compliance experience in investment management and strong communication skills.
- Other info: Located in Birmingham, this role offers a hands-on approach to compliance.
The predicted salary is between 43200 - 72000 £ per year.
Looking for your first Head of Compliance or SMF role?
It can be tough to secure your first Head of Compliance role. And it’s even tougher when the market is tricky, and clients always seem to opt for the more experienced candidates.
But this is a genuine opportunity to make that step up. And don’t worry if you’re already operating at this level, we’d love to hear from you too.
Operating in a standalone capacity initially, you’ll be working for a small Discretionary Investment Manager, with around £4bn AUM.
You’ll oversee the management and ongoing development of a comprehensive Compliance Monitoring Plan, Operational Risk Control Self Assessments (RCSAs) and Internal Capital and Risk Assessment (ICARA) to ensure the business complies with all relevant laws and regulations.
You’ll provide ongoing Compliance advice to the Board and also assist with the firm’s Risk Appetite Statement, Operational Risk and Liquidity Risk Management programmes.
In your capacity as MLRO you’ll review the adequacy of EDD, CDD, KYC and KYB other related processes as well as the overall AML/CTF framework and provide ongoing assessment of Financial Crime risks facing the business.
You’ll be an experienced senior Compliance specialist with experience gained within the Investment Management arena. You’ll have a proven track record of senior stakeholder engagement as well as team management and development. 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.
Does this sound like you? Are you up for the challenge?
If so, click apply and send over your CV.
Location: Birmingham, West Midlands
Workplace: Hybrid Working
Reference: 415182
To apply for this position, please click on ‘Apply Now’ button or email your CV together with details of your current remuneration to quoting reference 415182.
Willow Resourcing, 2nd Floor, 3 Brindley Place, Birmingham, B1 2JB.
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Head of Compliance & MLRO (SMF16 & 17) employer: Willow Resourcing
Contact Detail:
Willow Resourcing Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance & MLRO (SMF16 & 17)
✨Tip Number 1
Make sure to highlight any relevant experience you have in compliance and risk management, especially within the investment management sector. Tailor your discussions to showcase how your background aligns with the specific responsibilities of the Head of Compliance role.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who have experience in investment management. Attend industry events or webinars to connect with potential colleagues or mentors who can provide insights and possibly refer you to opportunities.
✨Tip Number 3
Prepare to discuss your approach to compliance monitoring and risk assessment during interviews. Be ready to share examples of how you've successfully managed compliance issues or improved processes in previous roles, demonstrating your hands-on experience.
✨Tip Number 4
Familiarize yourself with the latest regulations and compliance trends in the investment management industry. Showing that you are up-to-date with current laws and best practices will demonstrate your commitment and readiness for the role.
We think you need these skills to ace Head of Compliance & MLRO (SMF16 & 17)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance and investment management. Focus on your achievements in previous roles, especially those that demonstrate your ability to manage compliance frameworks and engage with senior stakeholders.
Craft a Compelling Cover Letter: Write a cover letter that clearly outlines your motivation for applying for the Head of Compliance role. Emphasize your hands-on experience and how it aligns with the responsibilities mentioned in the job description, such as overseeing compliance monitoring and risk assessments.
Highlight Key Skills: In your application, make sure to highlight essential skills such as communication, negotiation, and influencing. Provide specific examples of how you've successfully used these skills in past roles, particularly in compliance or risk management contexts.
Follow Application Instructions: Ensure you follow the application instructions carefully. Submit your CV along with details of your current remuneration as specified in the job description. This shows attention to detail and respect for the company's application process.
How to prepare for a job interview at Willow Resourcing
✨Showcase Your Compliance Knowledge
Make sure to demonstrate your understanding of compliance regulations and frameworks relevant to the investment management sector. Be prepared to discuss specific laws and how they apply to the role, as well as any experience you have in developing compliance monitoring plans.
✨Highlight Stakeholder Engagement Experience
Since this role involves senior stakeholder engagement, share examples from your past where you've successfully communicated and influenced key stakeholders. This could include instances where you provided compliance advice or managed expectations during challenging situations.
✨Demonstrate Hands-On Approach
The job requires a hands-on approach, so be ready to discuss how you've actively participated in compliance processes rather than just overseeing them. Share specific examples of how you've been involved in operational risk assessments or financial crime risk evaluations.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance-related situations. Think about potential challenges you might face in this role and how you would address them, particularly in relation to AML/CTF frameworks and risk management.
