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Deputy Head of Compliance
3 weeks ago
We have been instructed by an international corporate & specialist finance bank who has their European hub in London. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting
• Carry out regulatory and various other legal compliance (including AML, ABC, anti-fraud, DPA) advisory, monitoring and ad hoc activities, in particular, by completing delegated tasks and providing cover for the Head of Compliance.
• Summarising regulatory publications and legal requirements and their impact on the Business, circulating them as appropriate and agreeing action to be taken to address them.
• Regulatory horizon scanning to identify forthcoming areas that will impact the Business and be able to communicate those requirements to senior stakeholders.
• Preparing guidance and training on new and existing regulatory and certain legal requirements (and on any remedial action to address identified existing shortcomings) to business units. Tasks include drafting of new policies and reviewing and updating all existing policies for Board approval, drafting or approving departmental procedures and documentation templates (including Key Facts and client agreements and notices) and delivering or approving training.
• Approving all financial promotions.
• Investigating and drafting responses to complaints & root cause analysis.
• Responding to ad hoc requests for advice and assistance.
• Maintaining a risk-based monitoring plan for agreement with mgt. and the Audit & Compliance Committee.
• Reviewing and reporting on adherence to regulatory and legal requirements in accordance with the annual Compliance Monitoring Programme or as other risk-based monitoring requirements are identified.
• Management and tracking of open actions through to completion.
• Maintaining records of regulatory change and compliance department recommendations for changes to existing policy or procedures, including action being taken and confirming completion of that action.
• Drafting regular reports for management, including the Operational Risk, Management and Audit & Compliance Committees and Group Compliance.
Ideally have a high level of knowledge and understanding of compliance policies and procedures including, but not limited to, Customer Complaints, Suitability, Client Assets /Money, Anti-Bribery & Corruption, Conflicts of interest / Inducements, Market Abuse, Personal account Dealing and Gifts & Entertainment.
• Strong background in corporate banking with a focus on regulatory compliance.
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Deputy Head of Compliance
1 week ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: We are working with a regular client of ours who are searching for a Deputy Head of Compliance & Deputy MLRO. The client are a commodities broker in the City close to Liverpool Street. You will Support the Head of Compliance/MLRO to deliver second line oversight of company’s activities to ensure the business operates within its regulatory...
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Deputy Head of Compliance
3 weeks ago
City of London, Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Applying for this role is straight forward Scroll down and click on Apply to be considered for this position. We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated...
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Deputy Head of Compliance
3 weeks ago
City of London, Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Applying for this role is straight forward Scroll down and click on Apply to be considered for this position. We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated...
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Deputy Head of Compliance
2 weeks ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is an international financial services company focusing on wholesale and corporate banking activities. **THE RESPONSIBILITIES**: - To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. - Oversee and manage the regulatory advisory team within the...
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Deputy Head of Compliance
3 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is an international financial services company focusing on wholesale and corporate banking activities.THE RESPONSIBILITIES:To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements.Oversee and manage the regulatory advisory team within the departmentManage and oversee the...
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Deputy Head of Compliance
3 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is an international financial services company focusing on wholesale and corporate banking activities. THE RESPONSIBILITIES: To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. Oversee and manage the regulatory advisory team within the department Manage and oversee...
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Deputy Head of Compliance
3 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is an international financial services company focusing on wholesale and corporate banking activities. THE RESPONSIBILITIES: To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. Oversee and manage the regulatory advisory team within the department Manage and oversee...
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Deputy Head of Compliance
1 week ago
London, United Kingdom Compliance Professionals Full timeOur client is an international financial services company focusing on wholesale and corporate banking activities. THE RESPONSIBILITIES: To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. Oversee and manage the regulatory advisory team within the department Manage and oversee...
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Deputy Head of Compliance
1 week ago
London, United Kingdom Compliance Professionals Full timeOur client is an international financial services company focusing on wholesale and corporate banking activities. THE RESPONSIBILITIES: To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. Oversee and manage the regulatory advisory team within the department Manage and...
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Deputy Head of Compliance
3 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is an international financial services company focusing on wholesale and corporate banking activities. THE RESPONSIBILITIES: To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. Oversee and manage the regulatory advisory team within the department Manage and...
-
Deputy Head of Compliance
1 week ago
London, United Kingdom Compliance Professionals Full timeOur client is an international financial services company focusing on wholesale and corporate banking activities.THE RESPONSIBILITIES:To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements.Oversee and manage the regulatory advisory team within the departmentManage and oversee the...
-
Deputy Head of Compliance
1 week ago
London, United Kingdom Compliance Professionals Full timeOur client is an international financial services company focusing on wholesale and corporate banking activities. THE RESPONSIBILITIES: To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. Oversee and manage the regulatory advisory team within the department Manage and oversee...
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Compliance Advisory Officer
4 weeks ago
City of London, Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Find out if this opportunity is a good fit by reading all of the information that follows below. Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...
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Compliance Advisory Officer
3 weeks ago
City of London, Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Find out if this opportunity is a good fit by reading all of the information that follows below. Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE...
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Deputy Head of Compliance
4 weeks ago
Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY:Applying for this role is straight forward Scroll down and click on Apply to be considered for this position.We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Designated...
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Deputy Head of Compliance
2 weeks ago
Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reportingCarry out regulatory and...
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Deputy Head of Compliance
1 month ago
Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reportingCarry out regulatory and...
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Deputy Head of Compliance
1 month ago
Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reportingCarry out regulatory and...
-
Deputy Head of Compliance
1 month ago
Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reportingCarry out regulatory and...
-
Deputy Head of Compliance
1 week ago
Greater London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reportingCarry out regulatory and...