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Head of Compliance

2 months ago

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 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