Current jobs related to Head of Compliance SMF16/ SMF17 - London - Marlin Selection Recruitment

  • Head of Compliance

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team. This is a great opportunity for someone to step up in to ‘Head of’ role. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the...

  • Head of Compliance

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team on a part-time basis. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the business remains compliant with all relevant laws,...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROWe are seeking a highly skilled and experienced professional to join our team as Head of Compliance & MLRO. This is a critical role that requires a deep understanding of regulatory requirements and a proven track record of developing and implementing effective compliance frameworks.Key Responsibilities:Develop and maintain policies...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROWe are seeking a highly skilled and experienced professional to join our team as Head of Compliance & MLRO. This is a critical role that requires a deep understanding of regulatory requirements and a proven track record of developing and implementing effective compliance frameworks.Key Responsibilities:Develop and maintain policies...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROWe are seeking a highly skilled and experienced professional to join our team as Head of Compliance & MLRO. This is a critical role that requires a deep understanding of regulatory requirements and a proven track record of developing and implementing effective compliance frameworks.Key Responsibilities:Develop and maintain policies...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROWe are seeking a highly skilled and experienced professional to join our team as Head of Compliance & MLRO. This is a critical role that requires a deep understanding of regulatory requirements and a proven track record of developing and implementing effective compliance frameworks.Key Responsibilities:Develop and maintain policies...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROWe are seeking a highly skilled and experienced professional to join our team as Head of Compliance & MLRO. This is a critical role that requires a deep understanding of regulatory requirements and a proven track record of developing and implementing effective compliance frameworks.Key Responsibilities:Develop and maintain policies...

  • Compliance Director

    50 minutes ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROWe are seeking a highly skilled and experienced professional to join our team as Head of Compliance & MLRO. This is a critical role that requires a deep understanding of regulatory requirements and a proven track record of developing and implementing effective compliance frameworks.Key Responsibilities:Develop and maintain policies...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROWe are seeking a highly skilled and experienced professional to join our team as Head of Compliance & MLRO. This is a critical role that requires a deep understanding of regulatory requirements and a proven track record of developing and implementing effective compliance frameworks.Key Responsibilities:Develop and maintain policies...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROOur client, a leading international banking organisation based in the City, is seeking a seasoned professional to fill the role of Head of Compliance & MLRO. This is a permanent position that requires a strong understanding of AML/CTF regulations and a proven track record in developing and maintaining effective compliance...

  • Compliance Director

    2 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROOur client, a leading international banking organisation based in the City, is seeking a seasoned professional to fill the role of Head of Compliance & MLRO. This is a permanent position that requires a strong understanding of AML/CTF regulations and a proven track record in developing and maintaining effective compliance...

  • Compliance Director

    50 minutes ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Head of Compliance & MLROWe are seeking a highly skilled and experienced professional to join our team as Head of Compliance & MLRO. This is a critical role that requires a deep understanding of regulatory requirements and a proven track record of developing and implementing effective compliance frameworks.Key Responsibilities:Develop and maintain policies...

  • Head of Compliance/MLRO

    1 week ago

    London, United Kingdom LMA Full time

    As this regularly changes, the successful candidate must be agile and reactive and good with change, and must understand complex concepts in a regulatory and legal standpoint, and how that will affect them as a bank and ensure they meet requirements.The successful candidate must have held SMF16/SMF17 or CF10/CF11, at least 8 or 10+ years experience as an...

  • Head of Compliance/MLRO

    1 week ago

    London, United Kingdom LMA Full time

    As this regularly changes, the successful candidate must be agile and reactive and good with change, and must understand complex concepts in a regulatory and legal standpoint, and how that will affect them as a bank and ensure they meet requirements. The successful candidate must have held SMF16/SMF17 or CF10/CF11, at least 8 or 10+ years experience as an...

  • Head of Compliance/MLRO

    5 days ago

    London,, UK, United Kingdom LMA Recruitment Full time

    LMA is partnering with a well-known bank in Head of Compliance & MLRO position for a well-known bank paying up to £100,000. As the Head of Compliance, you will be responsible for designing and implementing policies & strategies (also experience writing Financial Crime policies from scratch & implementing them). As this regularly changes, the successful...

  • Head of Compliance/MLRO

    5 days ago

    London, United Kingdom LMA Recruitment Full time

    LMA is partnering with a well-known bank in Head of Compliance & MLRO position for a well-known bank paying up to £100,000. As the Head of Compliance, you will be responsible for designing and implementing policies & strategies (also experience writing Financial Crime policies from scratch & implementing them). As this regularly changes, the successful...

  • Head of Compliance/MLRO

    1 day ago

    london, United Kingdom LMA Recruitment Full time

    LMA is partnering with a well-known bank in Head of Compliance & MLRO position for a well-known bank paying up to £100,000. As the Head of Compliance, you will be responsible for designing and implementing policies & strategies (also experience writing Financial Crime policies from scratch & implementing them). As this regularly changes, the successful...

  • Head of Compliance/MLRO

    5 days ago

    London, United Kingdom LMA Recruitment Full time

    LMA is partnering with a well-known bank in Head of Compliance & MLRO position for a well-known bank paying up to £100,000. As the Head of Compliance, you will be responsible for designing and implementing policies & strategies (also experience writing Financial Crime policies from scratch & implementing them). As this regularly changes, the successful...

  • Head of Compliance/MLRO

    5 days ago

    London, United Kingdom LMA Recruitment Full time €100,000

    LMA is partnering with a well-known bank in Head of Compliance & MLRO position for a well-known bank paying up to £100,000. As the Head of Compliance, you will be responsible for designing and implementing policies & strategies (also experience writing Financial Crime policies from scratch & implementing them). As this regularly changes, the successful...

  • Head of Compliance/MLRO

    12 hours ago

    london, United Kingdom LMA Recruitment Full time

    Job DescriptionLMA is partnering with a well-known bank in Head of Compliance & MLRO position for a well-known bank paying up to £100,000. As the Head of Compliance, you will be responsible for designing and implementing policies & strategies (also experience writing Financial Crime policies from scratch & implementing them). As this regularly changes, the...

Head of Compliance SMF16/ SMF17

4 months ago

London, United Kingdom Marlin Selection Recruitment Full time

Job Description

A great opportunity has arisen to join a growing financial services firm in London as Head of Compliance (SMF16/SMF17).

Your duties will include

• To monitor NASDAQ SMARTS alerts and act as final arbiter when received reports.

• To submit reports to FCA (STORs) and/or NCA (SARs).

• To monitor the Dealing Errors and Incident Reports within the UK business

• To manage and provide solution for financial crime and AML matters in accordance with the ToR for Compliance.

• To maintain the Compliance Monitoring Program as per the approved Compliance Procedures Manual.

• To perform duties in relation to Personal Account Dealing, as set out in the Firm’s Personal Account Dealing Rules.

• To implement changes to the Firm’s systems, controls and procedures in response to FCA rule changes, so far as they affect the Firm.

• To have in-depth understanding of FCA Consultation Documents, Policy Notices, and other publications.

• To monitor for suspicious activity from both clients and employees.

• To ensure Firm’s compliance with FCA’s rules including timely submission of regulatory returns, if any.

• Per the prescribed responsibilities under SMCR for SMF 16 and 17

• All other ad-hoc Compliance duties/projects as and when assigned.

If you feel you can adhere to the above please apply stating your current remuneration, notice period and expectations

#J-18808-Ljbffr