Deputy Head of Compliance

7 days 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 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.

EXPERIENCE REQUIRED:

  • High level knowledge and understanding of UK regulations including, but not limited to, the FCA/PRA Handbook, PSD2, SMCR, MIFID 2, EMIR, Product Governance and their implications upon the business activities of the bank.
  • 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.

For further information, please contact Marcus Courtney

  • Deputy Head of Compliance

    7 days ago

    London, Greater London, United Kingdom Apollo Solutions Full time £85,000

    Job Description **Deputy Head of Compliance** London - Hybrid - Payments Circa £85k starting base salary + benefits A leading global payments company is looking for a skilled Deputy to the MLRO to join their successful team. As the Deputy Head of Compliance, you'll have the opportunity to work closely with the Head of Compliance and play a vital role in...

  • Deputy Head of Compliance

    7 days 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

    7 days 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

    7 days ago

    London, Greater London, United Kingdom Apollo Solutions Full time

    Deputy Head of ComplianceLondon - Hybrid - PaymentsCirca £85k starting base salary + benefitsA global payments firm is seeking a highly skilled and experienced Deputy to the MLRO to contribute to their growing success.This role offers:Report directly and work closely with the Head of Compliance.Substantial autonomy and exposure.A unique opportunity to...

  • Deputy Head of Compliance

    7 days 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...

  • Deputy Compliance Officer

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Our client is an asset and wealth management specialist. They are looking for a Deputy Compliance Officer to join the London-based team. The team is growing so this is a superb opportunity to be involved in that growth. THE RESPONSIBILITIES: To perform Regulatory horizon scanning and advise the CCO and broader team Manage the compliance calendar...

  • Head of Compliance

    6 days 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

    7 days 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

    7 days 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

    7 days 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

    6 days 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 Monitoring

    6 days ago

    London, Greater London, United Kingdom MMC Corporate Full time £5

    Hybrid work in London ECR | United Kingdom Job Views: 5 GBP Negotiable Job Description: Job information Job Description: Job information Deputy Head of Compliance Monitoring from the Company MMC Corporate , this latest Deputy Head of Compliance Monitoring job vacancy is located in the city Hybrid work in London ECR located in the country ...

  • head of compliance

    7 days 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...

  • Data Compliance Officer

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Our client is an asset and wealth management specialist. They are looking for a Deputy Compliance Officer to join the London-based team. To perform Regulatory horizon scanning and advise the CCO and broader team Manage the compliance calendar including Regulatory returns Main compliance point of contact for Internal systems including "Rules Manager". ...

  • Deputy Head of Audit

    7 days ago

    London, Greater London, United Kingdom PRO-TAX RECRUITMENT LIMITED Full time

    Deputy Head of Audit Position at a Leading Accountancy Practice in London We are partnering with a rapidly growing mid-tier accountancy firm located in London. This company is well-known for providing top-notch audit, tax, and advisory services to a diverse range of clients. They are currently seeking a skilled professional to join their team as Deputy Head...

  • exclusive: head of uk compliance

    7 days 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

    7 days 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...

  • Deputy Head of Safeguarding

    7 days ago

    London, Greater London, United Kingdom Woodrow Mercer Full time

    I am currently working with an NHS Commissioning organisation help find an interim Deputy Head of Safeguarding to cover long term leave - This opportunity will be Inside IR35. To deputise for the Head of Safeguarding as required and be able to represent the Trust at internal and external safeguarding and committees as agreed. To be professionally...

  • Deputy Head of Compliance Monitoring

    14 hours ago

    London, Greater London, United Kingdom MMC Corporate Full time

    Deputy Head of Compliance MonitoringWhat can you expect? Compliance Monitoring is part of the UK Regional Compliance function, part of the Second Line of Defence ("2LOD") which supports MMC's UK Marsh, Mercer and Guy Carpenter businesses. In the UK, Guy Carpenter is Marsh Ltd's Appointed Representative To deputise for the Head of Compliance Monitoring, UK...

  • Deputy Head Chef

    7 days ago

    London, Greater London, United Kingdom ChangeHospitality Full time

    We are on the lookout for a Deputy Head Chef to work in a high end Bistro & Bar. This is an excellent opportunity, as the successful candidate will betaking over the Head Chef position in August when their current Head Chef leaves.The Deputy Head Chef plays a crucial role in maintaining the exceptional culinary standards and reputation of this award-winning...