Head of Compliance Assurance

7 months ago

London, United Kingdom Barclays Full time

**Role Title**:Head of Compliance Assurance

**Location**:London

**What will you be doing**

**Overall purpose of role**

The primary role of the Head of Compliance Assurance is to deliver the risk, controls and assurance strategy.
- Develop and lead the Compliance Assurance function, setting strategic objectives, and providing direction to the Compliance Assurance team.
- Design and implement a comprehensive Compliance Assurance framework, policies, and procedures that align with regulatory requirements and industry best practices.
- Establish and maintain strong relationships with regulatory authorities, ensuring timely and accurate reporting of compliance-related matters.
- Stay up-to-date with relevant laws, regulations, and industry developments, and ensure that the Assurance plan reflects any changes.
- Define the Annual Assurance Plan and oversee Compliance Assurance reviews, issue validation, and monitoring activities to evaluate the effectiveness of controls and identify areas for improvement.
- Identify opportunities to leverage data and analytics to enhance existing Assurance plans and approaches and define a strategy to embed Continuous Assurance Techniques.
- Collaborate with Compliance stakeholders and cross-functional teams, including Chief Controls Office, Risk, Internal Audit, and Operations, to address Compliance issues and develop remediation plans.

**What we’re looking for**
- Proven experience in designing and implementing Compliance Assurance programs.
- Excellent quantitative and qualitative analytical skills with the ability to identify, assess, and mitigate Compliance risks.
- Exceptional leadership skills with the ability to inspire and manage a team effectively.
- Strong communication and interpersonal skills, with the ability to constructively partner, collaborate and influence stakeholders at all levels of the organisation. Detail-oriented with the ability to prioritise tasks, manage multiple projects simultaneously, and meet deadlines.
- Thought leader with the ability to drive innovation.
- Seasoned financial services professional with comprehensive experience in the industry and of the regulatory environment.
- Experience of overseeing assurance/audit programs.
- Strong understanding of Compliance risk.
- Proven experience of working with stakeholders at ExCo/ExCo -1 level.
- Strong partnering, influencing and collaboration skills
- Thought leadership

**Skills that will help you in your role**
- Professional qualifications, certifications and/or registrations relevant to the Head of Compliance Assurance role.

  • Head of Compliance Assurance

    6 months ago

    London, United Kingdom Barclay Simpson Full time

    **Head of Compliance Assurance**: - London - £130,000 - Sector: Banking - Job reference: NE40100 My client is a brokerage based in central London. They are looking to hire a head of Compliance monitoring and assurance. This is an exciting period in the companies growth. with some new senior leaders in place, they are looking for a replacement compliance...

  • Head of Assurance and Compliance

    4 weeks ago

    London, Greater London, United Kingdom Cast UK Limited Full time

    Opportunity OverviewCast UK Limited offers a unique opportunity for a strategic leader to join our team as the Head of Quality & Technical.This role is ideal for individuals with experience in Quality Assurance, Compliance, and Technical functions who are looking to make a significant impact on product quality and safety.We seek a dynamic and results-driven...

  • Head of Compliance

    6 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...

  • Head of Compliance

    6 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 Operations

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Compliance OperationsWe are looking for a seasoned professional to head our compliance operations department.This is an exciting opportunity to join a leading banking group and play a key role in establishing a control room in the UK.The successful candidate will be responsible for overseeing the tracking, handling, and safeguarding of...

  • Head of Compliance

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Head of Compliance

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES: Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinations Oversee and maintain the firm's policies and procedures to ensure they remain...

  • Head of Compliance

    3 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Head of Compliance

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Head of Compliance

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Head of Compliance

    6 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,...

  • Global Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking or prime broking experience.THE RESPONSIBILITIES:Management of global regulatory relationships.Advisory coverage of all business desks globally in conjunction with the local Compliance...

  • Head of Governance and Compliance

    4 weeks ago

    London, Greater London, United Kingdom HOUSE OF COMMONS-3 Full time

    Job SummaryWe are seeking a highly skilled individual to fill the role of Head of Governance and Assurance. This position will be responsible for leading the compliance, governance, and assurance team members to develop and implement the Parliamentary Safety Management System (SMS).

  • Head of Compliance and Assurance

    7 days ago

    London, Greater London, United Kingdom DS Smith Full time

    DSSmith has a unique opportunity for a highly skilled Senior Internal Audit Manager to join their Finance team. As part of this role, you will support the Head of Internal Audit, building annual risk-based internal audit plans and providing independent assurance regarding risk management, governance, and internal audit controls.You will possess excellent...

  • Head of Compliance

    7 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...

  • Global Head of Compliance

    2 weeks ago

    london, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. THE RESPONSIBILITIES: Management of global regulatory relationships. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers....

  • Global Head of Compliance

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. THE RESPONSIBILITIES: Management of global regulatory relationships. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. ...

  • Global Head of Compliance

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. THE RESPONSIBILITIES: Management of global regulatory relationships. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. ...

  • Global Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience.THE RESPONSIBILITIES:Management of global regulatory relationships.Advisory coverage of all business desks globally in conjunction with the local Compliance Officers.Oversight of...

  • Head of Compliance

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    Job Description THE COMPANY: An exciting opportunity has arisen with a rapidly growing commodity broker based in the City. The position will oversee a small team and will be instrumental with developing the compliance culture as the business grows. RESPONSIBILITIES: To ensure the business is aware of the regulatory risks it faces and mitigates...