Head of Risk & Compliance

Head of Risk & Compliance in London

London

Full-Time

43200 - 72000 £ / year (est.)

No home office possible

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At a Glance

Tasks: Lead compliance and risk management for a dynamic investment bank.

Company: Join [Employer hidden — view at passion-project.co.uk], a forward-thinking investment bank in London.

Benefits: Permanent role with competitive salary and collaborative work culture.

Why this job: Shape the future of compliance in finance and make a real impact.

Qualifications: Extensive experience in compliance and financial services required.

Other info: Fast-paced environment with opportunities for creative thinking and initiative.

The predicted salary is between 43200 - 72000 £ per year.

Apply by sending your CV to [contact hidden] and include the following details in your email:

Subject: "Head of Risk & Compliance"

Salary expectations

Visa requirements (if applicable)

Availability to start

Short introduction to yourself (max 200 words)

IMPORTANT: Candidates who fail to submit the requested information along with their CV will not be considered.

About Us: [Employer hidden] Ltd is a specialist investment bank focused on the creation of structured and alternative investment products tailored to the specific needs of investors. Led by an experienced team with deep expertise in structured finance, Otala designs, issues, and distributes investment solutions listed on major European exchanges. The firm also offers securitisation services, actively managed certificates (AMCs), and custom‐built innovative structures to support a wide range of investment strategies—making capital markets smarter and more accessible.

Location: London (UK)

Seniority Level: Senior

Employment Type: Permanent, Full‐time

The Head of Risk & Compliance (HORC) is primarily responsible for the oversight of Otala Markets Compliance framework and ensures the organization's adherence to UK laws, regulatory requirements, internal policies and procedures. As the Compliance function leader and a subject matter expert, the HORC is responsible for establishing high regulatory standards and implementing respective procedures to ensure compliance programmes are adequate, efficient and effective in identifying, mitigating and managing regulatory and compliance risks across the business. The HORC provides regulatory, compliance advice and guidance (1st line of defence) and implements compliance monitoring, controls and oversight (2nd line of defence) to ensure the business operates in compliance with UK laws, regulations and guidelines. The HORC offers reasonable assurance to Senior Management and the Board that effective Compliance frameworks (policies, procedures, systems and controls) are in place, proportionate to the nature of [Employer hidden] regulated business activities. The HORC encourages a positive collaborative compliance culture and helps senior management and staff understand all applicable regulatory and compliance requirements. The HORC reports directly to the Board of Directors and the Risk and Audit Committee, with routine reporting to the Board. The HORC shall also report any important issues and risks, including breaches of laws and regulations (including FCA rules) – whether material or non-material, significant internal control failures, failure to act in the best interest of clients, or any other material issues.

Key Responsibilities:

• Providing and ensuring open and honest regulatory liaison, building strong relationships with regulatory bodies, notably the FCA and law enforcement agencies.
• Acting as designated Compliance Oversight Officer (SMF16) and Money Laundering Reporting Officer (SMF17) for the organization. Essential previous experience as SMF16 and SMF17.
• Developing AML/CTF/CPF and other anti-financial crime controls and processes and ensuring their implementation and effectiveness.
• Providing expert advice and guidance on compliance, regulatory and risk matters to all organization members.
• Overseeing and assisting in responding to possible breaches and operational risk events, and non‐compliance with applicable regulations, rules and internal policies.
• Overseeing the Compliance function, ensuring monitoring, onboarding, regulatory reporting and other BAU tasks are performed.
• Engaging and liaising with external parties for regulatory and compliance advice, review, audit and assessment.
• Supporting the business to develop frameworks for complaints, breaches, anti‐financial crime, product governance (including Consumer Duty) and other relevant areas.
• Contributing to strategy and business planning, notably from a risk and compliance perspective.
• Developing and embedding a strategic approach to risk and compliance and a target operating model.
• Overseeing implementation of mandatory Compliance training for employees.
• Providing advice and guidance on corporate governance matters to enhance the governance framework.
• Preparing reports to senior management and the Board on compliance and risk issues, escalating material matters.
• Promoting highest standards of integrity, probity and corporate governance in the organization.
• Advocating for fair treatment of clients and good customer outcomes in all circumstances.

Required Skills:

• Excellent understanding of financial services and structured products market, and issuance and distribution of investment products.
• Extensive experience leading a function or team at senior level.
• Ability to identify potential regulatory, compliance and anti‐financial crime risks, and plan/executing mitigation measures and controls.
• Managing regulatory change and challenges.
• Ability to challenge executives where needed and provide strategic guidance and direction.
• Ability to embed compliance culture, promote good governance and an effective Board.
• Partnership and engagement with stakeholders, considering perspectives for practical solutions.
• Strategic thinking, decomposing complex issues, practical solutions, strong collaboration.
• Excellent communication, interpersonal and presentation skills, written and verbal.
• Expertise in UK regulatory frameworks, FCA rules, guidance and expectations; confidence to deal with FCA requirements.

Regulatory Requirements:

• SMF16 compliance oversight function – function of acting in the capacity of a director or senior manager allocated the function in SYSC 6.1.4R(2).
• SMF17 Money Laundering Reporting Officer – function of acting in the capacity of the money‐laundering reporting officer of a firm.

Additional Information:

Work Environment: Collaborative and fast‐paced environment where team members are encouraged to take initiative and think creatively.

Application Process: Candidates will undergo a multi‐step interview process.

Expected Start Date: Immediate start required.

Location: London, UK.

We look forward to your application!

Head of Risk & Compliance in London employer: [Employer hidden]

At [Employer hidden] Ltd, we pride ourselves on being an exceptional employer, offering a dynamic and collaborative work environment in the heart of London. Our commitment to employee growth is reflected in our comprehensive training programmes and opportunities for advancement within the firm, ensuring that our team members are well-equipped to excel in their roles. With a strong focus on integrity and compliance, we foster a culture that values open communication and encourages innovative thinking, making us an ideal place for professionals seeking meaningful and rewarding careers in the investment banking sector.

Contact Detail:

[Employer hidden] Recruiting Team

View [Employer hidden] Profile

StudySmarter Expert Advice 🤫

We think this is how you could land Head of Risk & Compliance in London

✨Tip Number 1

Network like a pro! Reach out to your connections in the finance and compliance sectors. A friendly chat can lead to insider info about job openings or even a referral. Remember, it’s all about who you know!

✨Tip Number 2

Prepare for interviews by researching [Employer hidden] thoroughly. Understand their compliance framework and recent regulatory changes. This will help us impress them with our knowledge and show we’re genuinely interested in the role.

✨Tip Number 3

Practice common interview questions related to risk and compliance. We should be ready to discuss our previous experiences and how they relate to the responsibilities of the Head of Risk & Compliance. Confidence is key!

✨Tip Number 4

Don’t forget to follow up after interviews! A quick thank-you email can keep us on their radar and show our enthusiasm for the position. Plus, it’s a great chance to reiterate why we’re the perfect fit!

We think you need these skills to ace Head of Risk & Compliance in London

Regulatory Compliance

Risk Management

Anti-Money Laundering (AML)

Counter-Terrorism Financing (CTF)

Financial Crime Prevention

Stakeholder Engagement

Strategic Thinking

Communication Skills

Interpersonal Skills

Presentation Skills

UK Regulatory Frameworks

FCA Rules and Guidance

Compliance Monitoring

Corporate Governance

Team Leadership

Some tips for your application 🫡

Get Your CV Spot On:

Make sure your CV is tailored to the Head of Risk & Compliance role. Highlight your relevant experience and skills that match the job description. We want to see how you can bring value to our team!

Nail That Email:

When you send your application, don’t forget to include all the details requested in the job description. This includes your salary expectations, visa requirements, availability, and a short intro about yourself. We’re serious about this, so make sure you tick all the boxes!

Keep It Concise:

Your introduction should be a max of 200 words, so make every word count! Share your key achievements and what makes you a great fit for the role. We love a good story, but keep it brief and to the point.

Apply Through Our Website:

While you can email your CV, we encourage you to apply through our website if possible. It helps us keep track of applications better and ensures you don’t miss out on any important updates from us!

How to prepare for a job interview at [Employer hidden]

✨Know Your Stuff

Make sure you have a solid understanding of UK regulatory frameworks and the specific compliance requirements relevant to [Employer hidden]. Brush up on FCA rules and be ready to discuss how your experience aligns with their needs.

✨Showcase Your Leadership Skills

As the Head of Risk & Compliance, you'll need to demonstrate your ability to lead a team effectively. Prepare examples of how you've successfully managed compliance functions or led teams in previous roles, highlighting your strategic thinking and problem-solving skills.

✨Build Relationships

Emphasise your experience in liaising with regulatory bodies and stakeholders. Be prepared to discuss how you've built strong relationships in the past and how you plan to foster collaboration within the compliance culture at [Employer hidden].

✨Prepare for Scenario Questions

Expect questions that assess your ability to handle compliance breaches or operational risk events. Think through potential scenarios and how you would respond, showcasing your expertise in developing effective controls and processes.

Head of Risk & Compliance in London

[Employer hidden]

Location: London

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Head of Risk & Compliance in London

London

Full-Time

43200 - 72000 £ / year (est.)

[Employer hidden]

50-100

View [Employer hidden] Profile

Head of Risk & Compliance in London

London

Full-Time

43200 - 72000 £ / year (est.)

[Employer hidden]

50-100

View [Employer hidden] Profile

Head of Risk & Compliance in London

London

Full-Time

43200 - 72000 £ / year (est.)

[Employer hidden]

50-100

View [Employer hidden] Profile