Head of Compliance

1 month ago

London, United Kingdom Robert Half Full time

Robert Half is recruiting for a Head of Compliance & MLRO for a financial platform.


ROLE: Head of Compliance & MLRO


LENGTH: Perm


LOCATION: Based in London - 3 days in the office


PAY: up to £95,000 per annum


The Role

This role requires authorization from the FCA and will serve as SMF16 (Chief Compliance Officer) and SMF17 (MLRO), adhering to the FCA’s Senior Managers and Certification Regime (SMCR).


Compliance Product Area:

  • Understand and navigate the non-readily realizable rules for restricted mass market investments, similar to those for crowdfunding and P2P lending firms.
  • Experience in a compliance or risk role within fixed income, P2P lending, or crowdfunding is beneficial.

Compliance Advisory:

  • Oversee the daily implementation of the compliance program, including regular compliance monitoring, surveillance, and reporting activities.
  • Assist in creating, implementing, training, and testing controls such as policies and procedures.
  • Responsible for CASS oversight, including relevant Prescribed Responsibility and coordinating the annual CASS Audit.
  • Familiarity with FCA Financial Promotions rules and the ability to approve marketing and promotions.
  • Provide comprehensive advice on compliance and legal issues related to regulatory obligations, including regulatory changes.
  • Serve as the primary contact for employees on compliance issues and contribute to reporting and communication on compliance matters to senior management and the Board.
  • Manage and track staff training related to compliance with the firm’s policies and procedures, including mandatory onboarding and annual refreshers.
  • Coordinate annual internal and external audit requests.
  • Conduct AML and KYC reviews on clients and counterparts as needed.
  • Assist and coordinate new initiatives, particularly those involving business changes and applications to the FCA or other regulators.

Compliance Reporting:

  • Monthly reporting of CMAR under the CASS regime.
  • Oversee and coordinate regulatory filings, Consumer Duty maintenance, and periodic FCA reporting obligations.
  • Ensure compliance with data protection (GDPR) requirements in coordination with other business members.
  • Experience with various fintech and investment management structures, including UK and European regulatory and reporting requirements, is advantageous.
  • Ensure accurate and timely regulatory notifications on applications made to the FCA or other regulators.


If this is of interest, please apply and I'll be in touch asap.


Thanks,


Taryn

  • 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...

  • Deputy Head of Compliance

    3 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,...

  • Head of Compliance

    3 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

    8 hours 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 Group Risk and Compliance

    4 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global industrial commodities business, specialising in the production and trading of industrial commodities. They are looking to hire a Head of Group Risk and Compliance for their London business. **THE RESPONSIBILITIES**: - Evaluating business activities to evaluate or assess compliance risk - Manging the Group’s...

  • Head of Financial Crime Compliance

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position OverviewCOMPANY PROFILE:Compliance Professionals is a distinguished private banking institution dedicated to delivering customized financial services to affluent clients, families, and organizations.KEY RESPONSIBILITIES:Offer expertise in UK financial crime compliance to internal teams,Revise and enhance the organization's Financial Crime Compliance...

  • Deputy Head of Compliance

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: We are working with a regular client of ours who are searching for a Deputy Head of Compliance & Deputy MLRO. The client are a commodities broker in the City close to Liverpool Street. You will Support the Head of Compliance/MLRO to deliver second line oversight of company’s activities to ensure the business operates within its regulatory...

  • Head of Compliance

    1 hour ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: If your skills, experience, and qualifications match those in this job overview, do not delay your application.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...

  • Head of Financial Crime Compliance

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Position OverviewCOMPANY PROFILE:Compliance Professionals is a prominent financial institution dedicated to providing customized financial services to affluent clients, families, and organizations.KEY RESPONSIBILITIES:Deliver expert guidance on UK financial crime compliance to internal teams.Revise and enhance the organization's Financial Crime Compliance...

  • Head of Compliance

    4 days ago

    London, 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 days 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 days 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

    4 days 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 Banking Policy and Compliance Specialist

    13 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About Compliance ProfessionalsWe are a leading provider of compliance solutions to the financial services industry. Our team of experts helps organizations navigate complex regulatory requirements and develop effective compliance programs.Job SummaryWe are seeking a highly experienced Head of Banking Policy and Compliance to join our team. The successful...

  • Compliance Director

    8 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionJob Title: Deputy Head of ComplianceCompany: Compliance ProfessionalsJob Type: Full-timeLocation: RemoteJob Category: ComplianceAbout Us:We are a leading provider of compliance solutions, dedicated to helping businesses navigate complex regulatory landscapes.Job Summary:We are seeking an experienced Compliance Executive to join our team as...

  • Head of Financial Crime Compliance

    3 weeks ago

    London, United Kingdom AJ FOX COMPLIANCE Full time

    Position Overview: A prominent International Law Firm is seeking a Head of Financial Crime Compliance to lead their new business intake division.Key Responsibilities:Oversee all risks associated with the firm's operations, including legal, regulatory, commercial, and reputational factors.Manage conflicts of interest and conduct thorough risk assessments for...

  • Deputy Head of Compliance

    19 hours ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Apply promptly! A high volume of applicants is expected for the role as detailed below, do not wait to send your CV.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...

  • Deputy Head of Compliance

    6 days ago

    London, 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...