Anyone a Head of Compliance, or similar? HELP!

[Hercules Rockerfeller]

I have blagged myself an interview for the role of head of compliance at a firm of stockbrokers tomorrow. Now I am a little out of my depth. Can anyone enlighten me on what they may ask, or what I should ask them, so I don't make too much of a fool of myself?!

 

[Hercules Rockerfeller]

I have blagged myself an interview for the role of head of compliance at a firm of stockbrokers tomorrow. Now I am a little out of my depth. Can anyone enlighten me on what they may ask, or what I should ask them, so I don't make too much of a fool of myself?!

Anyone? Please!

 

[Skint Gull]

Do you not work within the industry at the moment? Sounds like you're right, you are a little out of your depth!

 

[Lady Bracknell]

"Compliance" suggests that you'll be required to have a deal of knowledge about things that the firm are required to comply with. Or at least, strong evidence that you've got the sort of transferable skills that'll, er, transfer.

 

[Hercules Rockerfeller]

Do you not work within the industry at the moment? Sounds like you're right, you are a little out of your depth!

I'm in financial services, but I have "transferable skills", whatever that means. Oh well, should be a fun packed half hour of an interview!

 

[Lord Bracknell]

You could start by suggesting that the firm needs to tighten up its recruitment procedures.

How many other appointments have they made of people who haven't got the faintest idea how to do the job that they are being paid for?

 

[Yorkshire-Seagull]

Ooh. Might be me. I work at a huge stockbrokers at the moment as a supervisor of regulatory matters. PM me if you need help.

 

[Tricky Dicky]

I'm in financial services, but I have "transferable skills", whatever that means. Oh well, should be a fun packed half hour of an interview!

If it's only a half-hour interview I doubt it's for "Head of Compliance", that's a pretty difficult position requiring in-depth knowledge of all the regualtions surrounding the business - we have quite a large team that does it. Not a job I would want.

 

[Gazwag]

Sure you read it properly, its not head of conveniences is it

 

[Hercules Rockerfeller]

If it's only a half-hour interview I doubt it's for "Head of Compliance", that's a pretty difficult position requiring in-depth knowledge of all the regualtions surrounding the business - we have quite a large team that does it. Not a job I would want.

I am just being optimistic that I will last half an hour in the interview.

 

[1234andcounting]

Blimey

How did you manage that?

I suggest you take a look at the FSA pages if you haven't already done so and find out what the current flavours of the month are. Here's the link to the home page if you don't already have it.

Financial Services Authority

In fact, go there now and read about the fine for the stockbroking firm.


I know that TCF has been for a few years now (if you don't know what TCF stands for I suggest you claim a diary clash and duck out of the interview); as will risk management. The FSA were already obsessed with risk management prior to the Northern Rock fiasco - even more so now (he writes with bitter personal experience.)

Any interviewer worth their salt will also ask about current issues affecting the profession - so the credit crunch and its impact on share dealing is almost bound to come up.

If you get the job and they need a risk manager let me know

A Risk Manager (ex-)

 

[Tricky Dicky]

I am just being optimistic that I will last half an hour in the interview.

....

 

[Lush]

All I know is that you have to comply or die.

 

[Hercules Rockerfeller]

Blimey

How did you manage that?

I suggest you take a look at the FSA pages if you haven't already done so and find out what the current flavours of the month are. Here's the link to the home page if you don't already have it.

Financial Services Authority

In fact, go there now and read about the fine for the stockbroking firm.


I know that TCF has been for a few years now (if you don't know what TCF stands for I suggest you claim a diary clash and duck out of the interview); as will risk management. The FSA were already obsessed with risk management prior to the Northern Rock fiasco - even more so now (he writes with bitter personal experience.)

Any interviewer worth their salt will also ask about current issues affecting the profession - so the credit crunch and its impact on share dealing is almost bound to come up.

If you get the job and they need a risk manager let me know

A Risk Manager (ex-)

I do know what TCF stands for, which is a start!

I've done quite a bit of trawling on the FSA site, which is most dull, but has to be done. I think I need to swat up on the credit crunch. Know a bit about it, but can't help to learn more.

I'll pm you if I get the gig and we'll see about a job for you, but I wouldn't hold my breath!

Cheers!

 

[Hercules Rockerfeller]

All I know is that you have to comply or die.

Because of this job interview I stuck a tenner on that particular nag to win!

 

[Tricky Dicky]

I do know what TCF stands for, which is a start!

I've done quite a bit of trawling on the FSA site, which is most dull, but has to be done. I think I need to swat up on the credit crunch. Know a bit about it, but can't help to learn more.

I'll pm you if I get the gig and we'll see about a job for you, but I wouldn't hold my breath!

Cheers!

Is it a city job, can I ask ?

 

[Hercules Rockerfeller]

Is it a city job, can I ask ?

Yeah, on Lombard Street.

 

[NMH]

Spend the interview with THEm looking down the barrel of your cannon - in other words, ask 'em lots of questions that they need to respond to in order to win your interest in them. It'll take their minds off burying you with questions that you might struggle to answer.

 

[Wozza]

A sneak peek at the interviewer.

"You have 20 seconds to comply!"

 

[Pavilionaire]

I can see another Enron scandal on its way...