Head of Compliance
1 week ago
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 policies and procedures of the AML/CTF
- Conduct an annual risk assessment
- Receive and assess all internal Suspicious Activity Reports (SARs)
- To be point of contact with NCA and other regulatory, law enforcement and investigatory agencies on AML matters.
- Ensuring compliance with AML staff training obligations
- Overseeing the sanctions and transaction monitoring regime within the Bank
- To develop and implement the Compliance Framework
- Ensure that the Bank consistently and effectively operates within all relevant regulatory and statutory requirements at all times.
- Adviseon changes in the rules and regulations and compliance standards
- Regulatory returns to be completed and timeframes for submission to the FCA/PRA/other Regulators.
- Maintain and oversee record keeping
- Ensure that the Bank’s Complaints Procedures are correctly followed and reports made to the FCA as appropriate.
- Monitor and record the Bank’s compliance with the legal and regulatory requirements
- Liaise with the regulators as necessary
- Management of the Financial Crime and Compliance function
- Prepare and present the MLRO annual report
- Be an active member of the Executive Risk Committee.
EXPERIENCE REQUIRED:
- Experience in areas of compliance and holding SMF16 and SMF17 or substantial experience operating at a deputy and wanting to take the next step
- Ideally experience in a banking environment
- Strong understanding of relevant UK regulatory requirements.
- Detailed understanding of financial services compliance.
- Strong stakeholder management experience
For further information please contact Natalie Eshelby
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