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

  • Head of Compliance

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionWe are seeking a seasoned Legal Risk & Compliance professional to lead our compliance strategy and team at AJ FOX COMPLIANCE.The ideal candidate will have over 8+ years of experience in compliance, preferably at an international law firm, with strong business acumen and exceptional leadership skills.The Head of Compliance will be responsible...

  • Head of Compliance

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionWe are seeking a seasoned Legal Risk & Compliance professional to lead our compliance strategy and team at AJ FOX COMPLIANCE.The ideal candidate will have over 8+ years of experience in compliance, preferably at an international law firm, with strong business acumen and exceptional leadership skills.The Head of Compliance will be responsible...

  • Head of Compliance

    2 weeks ago

    London Area, 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 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

    2 weeks ago

    London Area, 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 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

    2 weeks ago

    London Area, 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 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

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a leading provider of execution and clearing services for exchange traded derivatives and OTC derivatives in the commodities markets. **THE RESPONSIBILITIES**: - Monitor and ensure on-going compliance with all legal and regulatory requirements - Proactive researching of the regulatory environment, keeping the business...

  • 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

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management?We're seeking a dynamic Head of Compliance to lead our compliance strategy and team at AJ FOX COMPLIANCE, a global leader in risk and compliance solutions.This high-impact role covers all aspects of AML,...

  • Head of Compliance

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management?We're seeking a dynamic Head of Compliance to lead our compliance strategy and team at AJ FOX COMPLIANCE, a global leader in risk and compliance solutions.This high-impact role covers all aspects of AML,...

  • Deputy Head of Compliance

    4 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 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,...

  • Deputy Head of Compliance

    3 weeks ago

    London Area, 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...

  • Deputy Head of Compliance

    4 weeks ago

    London Area, 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...

  • Deputy Head of Compliance

    4 weeks ago

    London Area, 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...

  • Head of Compliance and MLRO

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewCompliance Professionals is a leading organization in the financial services industry, dedicated to providing expert compliance solutions to businesses.Job SummaryWe are seeking a highly experienced and skilled Head of Compliance and MLRO to join our team. The successful candidate will be responsible for ensuring that our organization...

  • Head of Compliance and MLRO

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewCompliance Professionals is a leading organization in the financial services industry, dedicated to providing expert compliance solutions to businesses.Job SummaryWe are seeking a highly experienced and skilled Head of Compliance and MLRO to join our team. The successful candidate will be responsible for ensuring that our organization...

  • Head of Compliance

    4 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful futures and options broker based in the City, with years of experience delivering expert and high quality services. **THE RESPONSIBILITIES**: - Ensure that the Firm complies with its regulatory requirements as a UK regulated business; - Conduct periodic internal reviews and investigations, including trade...

  • Head of Compliance and MLRO

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewCompliance Professionals is a leading organization in the financial industry, dedicated to providing top-notch compliance services to its clients.Job SummaryWe are seeking a highly experienced and skilled Head of Compliance and MLRO to join our team. The successful candidate will be responsible for ensuring that our organization complies with...

  • Head of Regulatory Compliance

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionWe're seeking a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management to join AJ FOX COMPLIANCE as our Head of Regulatory Compliance.This high-impact role covers all aspects of AML, sanctions, and regulatory compliance while driving innovation and best...

  • Head of Regulatory Compliance

    1 week ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job DescriptionWe're seeking a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management to join AJ FOX COMPLIANCE as our Head of Regulatory Compliance.This high-impact role covers all aspects of AML, sanctions, and regulatory compliance while driving innovation and best...

Head of Compliance

4 months ago

London Area, 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 strategy.
  • Develop, motivate and lead staff to ensure their potential is realised.
  • Promote a strong compliance culture as flag-bearer for Compliance within the Firm.
  • Ensure the Firm's ongoing compliance with applicable UK regulations and rules of conduct.
  • Develop and implement a comprehensive risk-based Compliance Monitoring Programme which covers routine monitoring, reports on identified weaknesses and implements follow-up action plans to senior management and relevant committees.
  • Maintain the Compliance Manual, and all compliance policies and procedures.
  • Identify, interpret and disseminate information about regulatory changes across the Firm.
  • Act as intermediary between the Firm and all relevant regulatory bodies.
  • Provide timely accurate compliance advice to business partners and senior management.
  • Lead compliance-related projects and initiatives.
  • Participate on various risk, compliance and governance committees.
  • Organise and execute the Firm's compliance training to help ensure awareness and understanding by employees of responsibilities.
  • Review and approval of marketing materials.
  • Regulatory horizon scanning.









FCA RESPONSIBILITIES:


  • Responsibilities as set out in the FCA Statement of Responsibility relevant to the CCO Role
  • Subject to and required to adhere to the FCA Code of Conduct for Individuals and Senior Managers.











For further information please contact Marcus Courtney