Head of Compliance Uk

1 week ago

London, Greater London, United Kingdom Natixis Full time

Poste et missions:

  • Responsibility for the Branch's performance of its obligations under the FCA and PRA Senior Managers Regime.
  • Responsibility for the Branch's performance of its obligations under the FCA and PRA employee Certification Regime.
  • Responsibility for compliance with the regulatory requirements concerning the Management Responsibilities Map. Provide that the London Branch's Management Responsibilities Map is maintained and submitted to the FCA and the PRA in accordance with their requirements. Seek input from the London Branch Executive Committee, the Human Resources Department and the London Branch's other Senior Managers in relation to the content of the London Branch Management Responsibilities Map.
  • Responsibility for the escalation of correspondence from the PRA, FCA and other regulators in respect of the Branch to the UK Senior Management, the UK Executive Committee, or, where appropriate, the Head office of Natixis, or BPCE. Designated contact in the UK for the FCA, PRA and other relevant regulators on behalf of the London Branch.
  • Responsibility for the performance by the firm of its obligations in respect of notifications and
  • Leading the UK Compliance, Information Security, Business Continuity Management and Physical Security teams for the CIB business.
  • The overall responsibilities of the role are to set strategies to manage compliance risk and to maintain a strong compliance culture throughout the CIB operations of Natixis in the UK.
  • The Head of Compliance must play a full part, as a member of senior management and the UK
  • Executive Committee, in providing leadership to the business, building and implementing the strategy and operational plan to meet corporate goals and safeguarding customers' interests.
Main Responsibilities

  • Identifying and assessing laws, regulations and rules that govern Natixis operations in the UK. Providing an effective regulatory watch particularly with the Brexit.
  • Providing businesses and operations with effective policies, procedures and control systems for managing relevant compliance risks;
  • Building a compliance awareness program and delivering to the relevant staff effective training, helping the staff to incorporate the right compliance culture and business conduct;
  • Create a culture of effective compliance that is embedded throughout the business;
  • Providing advice to senior management in the country and to Natixis abroad, particularly to the Head Office, on UK compliance related issues;
  • Developing, together with the global controls function, an effective testing and monitoring plan in the UK. To ensure that corrective measures raised by compliance controls are addressed or escalated;
  • Overseeing and coordinating a team of 16+ FTEs in charge of the compliance and controls functions in the UK. To recruit, evaluate, develop and reward staff accordingly;
  • Setting strategy for managing the relationship with the FCA and the PRA. Together with the Senior Country Manager, be responsible for managing those relationships;
  • Supervising the fight against financial crime and overseeing the AML/Sanctions program in the UK;
  • Monitoring the implementation of recommendations and requirements of regulators / market authorities and internal audit in order to prevent sanctions and the risk of reputation/ image/ or financial loss;
  • Set, establish and provide adherence to processes, policies and procedures to meet compliance, legal and regulatory requirements. These should be supported by the appropriate monitoring and reporting procedures;
  • Be aware and demonstrate through actions, adherence to all compliance obligations set both externally (through legislation, regulation or industry guidelines) and with related internal policy and procedures (which detail those requirements specific to Natixis);
  • Implement and develop permanent control plan that satisfies French APCR requirements;
  • Manage the Londonbased Security function, responsible for establishing, implementing and reviewing the BCP and local security (IT and physical) policies, ensuring appropriate liaison with IT and Compliance departments, as relevant;
  • Assist in the development of the business continuity plan for the UK CIB, including appropriate liaison with IT on the DR aspects;
  • Plan and manage the London Compliance Department budget and set the Department's strategy;
  • Regular reporting to senior management and Head Office compliance, including the production of metrics, KPls, KRI and other indicators.

Profil et compétences requises:

  • Detailed experience of UK financial services regulatory environment is essential, being able to demonstrate sound track record in compliance at the highest level.
  • Experience of managing external legal counsel assignments.
  • An ability to be part of and communicate with Senior Management and proactively seek practical and commercial minded solutions to regulatory issues impacting on the business.
  • Proven problem solving capacity.

  • exclusive: head of uk compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    HEAD OF UK COMPLIANCE – SENIOR COMPLIANCE EXPERIENCE FROM A CARD NETWORK, MONEY REMITTANCE OR SIMILAR FINTECH FIRM REQUIRED 100K - £130K + Benefits & Bonus Hybrid (South East England) We have been retained by our client, a growing international payments business with an exciting vision, to find a Head of UK Compliance to help drive forward their...

  • exclusive: head of uk compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Head of UK Compliance at Global Payments BusinessA rapidly growing international payments business with a bold vision is on the lookout for an experienced Head of UK Compliance. This role is crucial in driving forward their expanding operations and maintaining a positive relationship with the FCA.Ongoing review of legal, regulatory, and governance...

  • Head of Compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time £150,000 - £175,000

    HEAD OF COMPLIANCE - COMMERCIAL BANKING ECOMPLIANCE EXPERIENCE REQUIRED £150K - £175K plus excellent bonus & benefits Hybrid (City of London) Our client, a leading UK Bank, now seeks a new Head of Compliance. Horizon scan all regulatory changes and ensure analysed & disseminated to the business Assist the business in all new product & services...

  • Head of Compliance

    1 week ago

    London, Greater 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 business remains...

  • Head of Compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY:We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services.THE RESPONSIBILITIES:Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and...

  • Head of Compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY:We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services.THE RESPONSIBILITIES:Lead the Compliance Department with responsibility for the overarching compliance framework,...

  • head of compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    HEAD OF COMPLIANCE - COMMERCIAL BANKING ECOMPLIANCE EXPERIENCE REQUIRED £150K - £175K plus excellent bonus & benefits Hybrid (City of London) Ref:4038G Our client, a leading UK Bank, now seeks a new Head of Compliance. Managing a team, reporting to the CRO and liaising with the separate MLRO, duties will include;Hold the SMF 16 Manage and mentor the team...

  • Head of Compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a well-established international full-service commercial bank seeking a skilled Head of Compliance to oversee their London operations. JOB OVERVIEW: Develop and maintain compliance policies and procedures within the Branch Ensure continuous review and alignment of the compliance framework with legal and regulatory...

  • Deputy Head of Compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE 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 reportingnCarry out regulatory and...

  • Deputy Head of Compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE 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...

  • Deputy Head of Compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Description THE 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 reporting Carry...

  • Deputy Head of Compliance

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE 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. Apply fast, check the full description by scrolling below to find out the full requirements for this role.THE RESPONSIBILITIES:Designated Business...

  • Head of UK Compliance

    1 week ago

    London, Greater London, United Kingdom Eames Consulting Full time

    My client an international bank are looking for a UK Head of Compliance (SMF16). Managing UK Compliance team Building and maintaining relationships with internal and external stakeholders (regulators, senior management) Ensuring a robust conduct and compliance framework meeting the firms regulatory obligations. Manging direct reports alongside annual...

  • exclusive: head of uk compliance – senior compliance experience from a card network, money remittance or similar fintech firm required

    1 week ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    EXCLUSIVE: HEAD OF UK COMPLIANCE – SENIOR COMPLIANCE EXPERIENCE FROM A CARD NETWORK, MONEY REMITTANCE OR SIMILAR FINTECH FIRM REQUIRED 4030G £100K - £130K + Benefits & Bonus Hybrid (South East England) We have been retained by our client, a growing international payments business with an exciting vision, to find a Head of UK Compliance to help drive...

  • Head of UK Compliance

    1 week ago

    London, Greater London, United Kingdom Eames Consulting Full time

    Job Description My client an international bank are looking for a UK Head of Compliance (SMF16). This role will report to the C-Suite and have prior experience engaging with the regulator/FCA. Key Responsibilities: Managing UK Compliance team Building and maintaining relationships with internal and external stakeholders (regulators, senior management)...

  • Head of UK Compliance

    1 week ago

    London, Greater London, United Kingdom Eames Consulting Full time

    My client an international bank are looking for a UK Head of Compliance (SMF16).Candidates should take the time to read all the elements of this job advert carefully Please make your application promptly.This role will report to the C-Suite and have prior experience engaging with the regulator/FCA.Key Responsibilities:Managing UK Compliance teamBuilding and...

  • Compliance Manager

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working exclusively with an International Wholesale Bank located in the City of London, who are looking for a Compliance Manager to join the team. THE RESPONSIBILITIES: Report to the Chief Compliance Officer, covering all aspects of compliance, specialising in customer due diligence and anti-money laundering. Review due diligence...

  • Compliance Manager

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Our client is a multinational banking organisation.Good and practical understanding of JMLSG Good experience of tracking and operationally implementing AML regulationsGood and practical understanding of financial crime matters Good and practical understanding of CDD/KYC customer on boarding Good and practical understanding of FCA PEP guidelines.Good...

  • Regulatory Compliance M

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    We are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services.Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy.Promote a strong compliance...

  • Compliance Officer

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a well regarded corporate bank offering a variety of deposit and lending products, as well as treasury and foreign exchange services. THE RESPONSIBILITIES: Assist in maintaining and promoting a compliance culture appropriate to meet regulatory requirements and in line with industry best practices. Keep abreast of...