Head of Compliance

4 weeks ago

London, United Kingdom Compliance Professionals Full time

Job Description

THE COMPANY:

Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business.

THE RESPONSIBILITIES:

  • Responsible for the policies and procedures forming the compliance framework within the Branch
  • Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and regulatory requirements
  • Keep up to date with applicable legal and regulatory requirements and obligations and ensure these are communicated to the senior management team and business
  • Advise on regulatory requirements of any new business or new products.
  • Provide compliance, anti-money laundering, financial crime and conduct rules training to the Branch’s management, business heads and other staff
  • Induction training to new joiners.
  • Monitor the Branch’s regulated activities to identify situations in which the Branch has not acted in accordance with its regulatory responsibilities
  • Escalate any issues
  • Monitor news of relevant enforcement actions by regulators and communicate these and any necessary actions to the senior management team.
  • Responsible for the interaction with the PRA and FCA.
  • Promote a good compliance culture by engaging staff from all around the business.
  • Ensure responsibilities are carried out under FCA “Required Function” SMF16/17 & Money Laundering Reporting Function, Compliance Oversight Function.
  • Maintain and revise policies and procedures.
  • Supervise and handle day-to-day AML / ATF tasks
  • Carry out necessary AML / ATF Training and Competence.
  • Supervise Compliance team in review of all new Customer Accounts opened for AML / ATF compliance details.
  • Analyse appropriate IT reports developed for suspicious activity, and conduct relevant enquiries where necessary.

EXPERIENCE REQUIRED:

  • Senior level Compliance and AML experience.
  • Current or recent holder of SMF16 and SMF17, ideally from a corporate or wholesale banking environment
  • Understanding of relevant FCA rules, FOS, Data Protection legislation.
  • Anti Financial Crime legislations and JMLSG guidance.
  • FCA approach to supervision.
  • Compliance / regulatory / legal experience.
  • Financial services experience.

For further information please contact Natalie Eshelby

#J-18808-Ljbffr

  • Head of Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed...

  • Head of Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and...

  • Head of Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and...

  • Head of Compliance

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and...

  • Head of Compliance

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed...

  • Head of Compliance

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. THE RESPONSIBILITIES: Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and...

  • Head of Compliance

    5 days ago

    London, Greater 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 business remains...

  • Head of Compliance

    5 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time £150,000 - £175,000

    HEAD OF COMPLIANCE - COMMERCIAL BANKING ECOMPLIANCE EXPERIENCE REQUIRED £150K - £175K plus excellent bonus & benefits Hybrid (City of London) Our client, a leading UK Bank, now seeks a new Head of Compliance. Horizon scan all regulatory changes and ensure analysed & disseminated to the business Assist the business in all new product & services...

  • Head of Compliance

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE 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,...

  • Head of Compliance

    5 days ago

    London, Greater London, 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...

  • Head of Compliance

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a well-established international full-service commercial bank seeking a skilled Head of Compliance to oversee their London operations. JOB OVERVIEW: Develop and maintain compliance policies and procedures within the Branch Ensure continuous review and alignment of the compliance framework with legal and regulatory...

  • Head of Compliance

    2 weeks 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

    1 day 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

    4 weeks 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

    5 days ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    HEAD OF COMPLIANCE - COMMERCIAL BANKING ECOMPLIANCE EXPERIENCE REQUIRED £150K - £175K plus excellent bonus & benefits Hybrid (City of London) Ref:4038G Our client, a leading UK Bank, now seeks a new Head of Compliance. Managing a team, reporting to the CRO and liaising with the separate MLRO, duties will include;Hold the SMF 16 Manage and mentor the team...

  • Deputy Head of Compliance

    4 weeks 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

    1 day 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

    4 weeks 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

    4 weeks 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

    4 weeks 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...