Current jobs related to Deputy Head of Compliance - London - Compliance Professionals

  • Deputy Head of Compliance

    5 months 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...

  • Deputy Head of Compliance

    5 months 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...

  • Head of Compliance

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking organisation based in the City. They are looking for a Head of Compliance & MLRO to join the Business on a permanent basis.THE RESPONSIBILITIES:Accountable for ensuring all managers fulfil their responsibilitiesOverseeing and assisting Senior Management as requiredTo constantly develop and maintain policies...

  • Head of Compliance

    7 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking organisation based in the City. They are looking for a Head of Compliance & MLRO to join the Business on a permanent basis.THE RESPONSIBILITIES:Accountable for ensuring all managers fulfil their responsibilitiesOverseeing and assisting Senior Management as requiredTo constantly develop and maintain policies...

  • Head of Compliance

    7 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking organisation based in the City. They are looking for a Head of Compliance & MLRO to join the Business on a permanent basis.THE RESPONSIBILITIES:Accountable for ensuring all managers fulfil their responsibilitiesOverseeing and assisting Senior Management as requiredTo constantly develop and maintain policies...

  • Head of Compliance and MLRO

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Compliance and MLROJob Summary: We are seeking a highly experienced Head of Compliance and MLRO to join our team at Compliance Professionals.Key Responsibilities:* Ensure all managers fulfill their responsibilities* Oversee and assist senior management as required* Develop and maintain policies and procedures of the AML/CTF* Conduct an...

  • Head of Compliance and Risk Management

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...

  • Head of Compliance and Risk Management

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...

  • Head of Compliance and Risk Management

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...

  • Head of Compliance and Risk Management

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...

  • Head of Compliance and MLRO

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionCompliance Professionals is seeking a highly skilled and experienced Head of Compliance and MLRO to join our team. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant regulatory and statutory requirements.Key Responsibilities:Develop and maintain policies and...

  • Head of Compliance and MLRO

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionCompliance Professionals is seeking a highly skilled and experienced Head of Compliance and MLRO to join our team. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant regulatory and statutory requirements.Key Responsibilities:Develop and maintain policies and...

  • Head of Compliance and Risk Management

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...

  • Head of Compliance and Risk Management

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...

  • Head of Compliance

    6 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking organisation based in the City. They are looking for a Head of Compliance & MLRO to join the Business on a permanent basis. THE RESPONSIBILITIES: Accountable for ensuring all managers fulfil their responsibilities Overseeing and assisting Senior Management as required To constantly develop and maintain...

  • Head of Compliance

    5 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking organisation based in the City. They are looking for a Head of Compliance & MLRO to join the Business on a permanent basis. THE RESPONSIBILITIES: Accountable for ensuring all managers fulfil their responsibilities Overseeing and assisting Senior Management as required To constantly develop and...

  • Head of Compliance

    7 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international banking organisation based in the City. They are looking for a Head of Compliance & MLRO to join the Business on a permanent basis. THE RESPONSIBILITIES: Accountable for ensuring all managers fulfil their responsibilities Overseeing and assisting Senior Management as required To constantly develop and...

  • Head of Compliance and Risk Management

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...

  • Head of Compliance and Risk Management

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...

  • Deputy Head of Compliance

    5 months ago

    London, United Kingdom Rothstein Recruitment Full time

    Posted by - Will Buckner- Senior Consultant**Deputy Head of Compliance - International Banking** Excellent opportunity opens for an experienced Deputy Head of Compliance/ Compliance Manager an **International Banking** background to join an **International Bank's London office** and work in a crucial capacity. - Closely support the Head of Compliance and...

Deputy Head of Compliance

2 months ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:

We are working with a globally recognized FX and CFD Broker who are on the search for a Compliance Executive to join the firm. The firm are based centrally in the city close to Bank Station.

THE RESPONSIBILITIES:

  • Management and oversight of the compliance department, providing advice as necessary. Assess the effectiveness of the firm’s systems and controls.
  • Updating, maintaining and enhancing the firm’s compliance program, policies and procedures and the compliance manual as and when necessary.
  • Transaction reporting monitoring, to ensure the company continues to meet reporting requirements under FCA, MiFID and EMIR rules.
  • Liaising with regulators, including responding to routine queries, audits, investigations and thematic reviews.
  • Reviewing and approving of financial promotions.
  • Monitoring regulatory developments affecting the firm’s business, and then working with other departments to ensure timely implementation.
  • Attending Committee meetings to present Management Information (MI) on a range of issues including, Anti-Money Laundering (AML), Anti-Bribery and Corruption (ABC), Treating Customers Fairly (TCF), Complaints and staff training and competency issues.
  • Administering compliance training to staff in respect of regulatory issues, UK financial services standards and company policies.
  • Maintaining details of all complaints in the complaints register and handling complaints, including liaising with the Financial Ombudsman Service (FOS).
  • The monitoring and raising of breaches and maintaining the breach register.
  • The management and monitoring of all conflicts of interest arising and maintaining the conflicts of interest register.
  • Being the whistleblowing champion and implementing and communicating relevant whistleblowing policies.
  • Prepare and forward AML reports to firm’s Board on an annual basis.
  • Acting as the nominated officer in relation to dealings with the National Crime Agency.
  • Overseeing the investigation of suspicious transactions/orders and the submission of reports to the relevant authority (FCA, NCA and HMT) as required.
  • Work with the business to drive through a strong AML culture.
  • Maintain and review policies, procedures and practices to ensure compliance with laws and regulations.
  • Oversee revision, preparation and dissemination of new and updated AML standards and procedures.
  • Co-ordinate, supervise and support the company’s AML-related programmes.
  • Work with senior management to ensure that the business implements and maintains suitable AML systems and controls.

EXPERIENCE REQUIRED:

  • Prior experience within a payment, fintech, CFD or FX Brokerage firm.
  • 5+ years within a generalist compliance role – NOT PURE AML/ KYC.
  • Aspirations to hold the SMF16 & SMF17 function in the future.
  • Advantageous if you have held the SMF16 and/ or 17 previously.

For further information please contact Jordan White - 19007