Deputy Head of Compliance

2 weeks ago

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 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

    1 week ago

    Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY:Applying for this role is straight forward Scroll down and click on Apply to be considered for this position.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...

  • Deputy Head of Compliance

    2 weeks ago

    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 reportingCarry out regulatory and...

  • Deputy Head of Compliance

    2 weeks ago

    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 reportingCarry out regulatory and...

  • Deputy Head of Compliance

    2 weeks ago

    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 reportingCarry out regulatory and...

  • Deputy Head of Compliance

    2 weeks ago

    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 reporting Carry out...

  • Deputy Head of Compliance

    1 day ago

    London, United Kingdom Compliance Professionals Full time

    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 department Manage and oversee...

  • Deputy Head of Compliance

    13 hours ago

    London, United Kingdom Compliance Professionals Full time

    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 department Manage and...

  • Deputy Head of Compliance

    2 days ago

    London, United Kingdom Compliance Professionals Full time

    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 department Manage and oversee...

  • Deputy Head of Compliance

    23 hours ago

    London, United Kingdom Compliance Professionals Full time

    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 departmentManage and oversee the...

  • Deputy Head of Compliance

    7 days ago

    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 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...

  • Deputy Head of Compliance

    1 month ago

    London, United Kingdom Apollo Solutions Full time

    Job Description Deputy Head of Compliance London - Hybrid - Payments Circa £85k starting base salary + benefits A 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...

  • Deputy Head of Compliance

    13 hours ago

    London, United Kingdom Apollo Solutions Full time

    Job Description Deputy Head of Compliance London - Hybrid - Payments Circa £85k starting base salary + benefits A 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...

  • Deputy Head of Compliance

    1 month ago

    London, United Kingdom Apollo Solutions Full time

    Deputy Head of Compliance London - Hybrid - Payments Circa £85k starting base salary + benefits A 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...

  • Deputy Head of Compliance

    24 hours ago

    London, United Kingdom Apollo solutions Full time

    Deputy Head of ComplianceWant to make an application Make sure your CV is up to date, then read the following job specs carefully before applying.London - 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...

  • Deputy Head of Compliance

    1 month ago

    London, United Kingdom Apollo Solutions Full time

    Deputy Head of Compliance London - Hybrid - Payments Circa £85k starting base salary + benefits A 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...

  • Deputy Head of Compliance

    6 days ago

    City of London, Greater London, United Kingdom Compliance Professionals Full time

    We have been instructed by an international corporate & specialist finance bank who has their European hub in London. 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...

  • Deputy Head of Compliance

    6 days ago

    City of London, Greater London, United Kingdom Compliance Professionals Full time

    We have been instructed by an international corporate & specialist finance bank who has their European hub in London. 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...

  • Deputy Head of Compliance

    1 month ago

    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

    3 weeks ago

    London, United Kingdom Apollo Solutions Full time

    Job DescriptionDeputy 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...

  • Deputy Head of Compliance

    4 weeks ago

    London Area, United Kingdom Apollo Solutions Full time

    Deputy Head of Compliance London - Hybrid - Payments Circa £85k starting base salary + benefits A 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...