Chief Compliance Officer, Mlro

3 weeks ago

London, United Kingdom eFinancialCareers Full time

**Introduction**
Zodia Custody offers a unique value proposition. It combines the agility of a start-up with the dependability of a 167-year-old financial institution being Standard Chartered Bank.
Established in 2020, Zodia Custody is a subsidiary of Standard Chartered and in December of that year, it was announced that Northern Trust had become a co-investor in Zodia Custody. Zodia's association with both Standard Chartered and Northern Trust bringseach Bank's established custody approach to the market and provides institutional investors globally with the confidence to enter the space.
At Zodia Custody, we believe that secure custody services and higher industry standards are key to unlocking the institutional potential for the cryptoasset class.
**Business Department Strategy**
An overview of the Department and strategy.
The Compliance and Financial Crime team is responsible for all regulatory aspects for Zodia Custody ensuring the highest level of compliance management by maintaining business controls, providing advice to the business, assessing and mitigating risks and keepingup to date with all applicable regulatory jurisdictions. The Department is a key contact for all regulatory bodies that enable Zodia Custody to meet relevant regulatory obligation and practices.
**Scope of Role**
Overall accountability for Zodia Custody's CFCC department. To maintain regulatory knowledge across all jurisdictions, global awareness and provide sound advice to the business, ensuring good compliance monitoring frameworks are established and sound businesscontrols in place. This role is a regulatory approved role as Money Laundering Reporting Officer for Zodia Custody Limited as well as a registered role with the Information Commissioner's Office as Data Protection Officer.
**Key Accountabilities**:

- To perform the role as Money Laundering Reporting Officer, Data Protection Officer and Nominated Officer as per applicable UK regulations.
- Develop and maintain Compliance and Financial Crime (CFCC) standards and the associated compliance monitoring framework applicable to the business
- Provide reporting to / input from SC Group governance structures (e.g. SC Ventures Committee, Global Head of CFCC Policies & Frameworks) as required.
- Design and provide input to the overall governance structure for Zodia from a CFCC perspective
- Identify, distil and disseminate regulatory developments, considering the impact on policies, procedures, processes and controls.
- Define, implement and perform CFCC monitoring/surveillance programmes
- Conduct Investigations where appropriate/escalate and support any Suspicious Activities Reporting.
- Coordinate and drive the entity AML/CFT risk management and approve control processes as developed by 1st line of defence
- Keep abreast of regulatory developments and advise the management on their impact on the business
- Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures (as applicable).
- Key liaison/contact person with the relevant regulators. Build, manage and maintain effective relationship with the relevant regulators Support the preparation, co-ordination and management of new and on-going regulatory engagements and reporting.
- Active speaker representing Zodia CFCC at relevant conferences / working groups.
- Initiate, support drafting of external post/articles from a CFCC lens relevant to Zodia Custody activities

**Business Support**:

- Provide CFCC (Compliance, Financial Crime and Conduct) coverage and advice to the business.
- Works collaboratively with the business and relevant risk functions.
- Identify material regulatory risks in the business.
- Review and provide compliance inputs on processes designed by the Business to ensure compliance with regulatory requirements and the company's policies.
- Approve new products and new business initiative (as relevant).
- Review and approve of new deals / transactions (as relevant).

**People and Talent**:

- Develop and enhance the Compliance Team
- Manage, provide guidance, support and mentor CFCC team.
- Identify CFCC training requirements for the CFCC team, for Business and for other functions teams.
- Develop training decks and train Zodia staff in order to continually educate staff on CFCC risks, Regulatory requirements, Policies and Standards and associated control framework.

**Governance and Risk Management**:

- Monitoring, mitigating and reporting compliance and financial crime risks across the business.
- Manage investigations and prepare any relevant government filings such as Suspicious Activities Reporting.
- Maintain responsibility as the Risk Framework Owner for Compliance and Financial Crime risk types under the Zodia Risk Management Framework
- Responsible for monitoring and completion of annual AML risk assessment for Board approval
- Anticipate and assess key regulatory and product risk trends in the business for management consideration and drive the development and implementation of appropriate risk mitigation measures.
- Undertake continual assessment of regulatory risks associated with new/ existing products and markets.
- Liaise with internal and external auditors and bank on CFCC matters as required
- Prepares papers/ reports for the relevant governance bodies.
- Ensures timely escalation of incidents, control breaches and conduct matters to relevant stakeholders and ensure fully investigated with key stakeholders where relevant

**Regulatory & Business Conduct**:

- Prepare, co-ordinate and manage new and on-going regulatory engagements and reporting.
- Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct
- This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws and regulations.
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

  • Head of Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The Client We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of banking...

  • Head of Compliance

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The Client We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of banking...

  • Head of Compliance

    3 weeks ago

    London Area, United Kingdom Compliance Professionals Full time

    LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The Client We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of banking...

  • Mlro

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a International bank based in the West End **THE RESPONSIBILITIES**: - SM17 registered - Formulate annual AML plan and perform the relevant quality assurance checks to ensure adherence. - Ensure adequate policies and procedures in place for AML operations in the Branch - Address issues relating to transaction monitoring and...

  • Mlro / Compliance Officer

    4 weeks ago

    London, United Kingdom CHAABI BANK UK Full time

    General Responsibilities: - Monitor compliance with laws, regulations, and internal policies. - Conduct audits and investigations to ensure compliance. - Develop and implement compliance policies and procedures. - Identify potential areas of compliance vulnerability and risk. - Advise management on needed actions to ensure compliance. - Provide guidance on...

  • Compliance Officer

    4 weeks ago

    London, United Kingdom Barclay Simpson Full time

    We are working with an established global Fintech business who are in the next phase of growth.  We are seeking an experienced Compliance Officer & MLRO to manage the Compliance and Financial Crime teams in the UK and across various jurisdictions. The ideal candidate will have knowledge of online trading, crypto and payments. Reporting to the Board you will...

  • Compliance Officer and MLRO

    4 weeks ago

    London, United Kingdom RiskFree Recruitment Full time

    Compliance Officer & MLRO - Money Laundering Reporting OfficerProfessional Must have a Professional Services AML background. Client: We are pleased to be working with a leading national business advisory firm that offers its clients exceptional service and with over 700 employees and a great company culture this role has to be on your radar. Position...

  • Chief Compliance Officer

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring...

  • Deputy Mlro

    4 weeks ago

    London, United Kingdom Amazon Payments UK Limited Full time

    Significant experience of second line compliance in Anti-Money Laundering and Counter Terrorism Financing, Economic Sanctions, and Fraud Risk Management, ideally gained at a financial institution. - A detailed understanding of industry standard processes and approaches for customer screening and transaction monitoring. This would include strong awareness of...

  • Mlro

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an innovative and forward-thinking alternative banking group, with exciting growth plans. They are seeking a highly skilled and experienced MLRO to join the Team and help out on a ‘pre-launch’ basis. You will NOT be registered with the FCA **THE RESPONSIBILITIES**: - Liaising with key internal stakeholders (e.g. Legal,...

  • Head of Compliance and Mlro

    7 days ago

    London, United Kingdom MW recruitment Full time

    A banking institution in the City wish to recruit a head of compliance/MLRO to oversee compliance within the Bank. **Main Duties** Responsibility for overseeing compliance within the bank and ensuring compliance with laws, regulatory requirements, policies, procedures and manuals Ensure that the company complies at all times, with the regulations as laid...

  • Emea Mlro and Head of Compliance

    7 days ago

    London, United Kingdom Wirex Full time

    We’re Wirex and we’re not like anyone else. Why? Because we always do things our way, before anyone else does them - like creating the first ever debit card that lets you pay with crypto, making it easier for ordinary people to access DeFi-powered savings and setting up the world’s first cryptocurrency rewards scheme. Our vision is a world in which...

  • CHIEF COMPLIANCE OFFICER

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a market leader the retail brokerage space going through an exciting period of growth. Currently seeking a Chief Compliance Officer to join the Business, THE RESPONSIBILITIES: Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance Undertaking a rolling compliance monitoring programme on...

  • Head of Compliance

    4 weeks ago

    London, United Kingdom Barclay Simpson Full time

    **Head of Compliance & MLRO**: - London - £150,000 - Job type: Permanent - Sector: Financial Services - Job reference: 40860 My client is an established EMI payments firm who are growing and launching new products and services in the UK. We are seeking a Compliance Officer who can enhance the existing Compliance framework and build robust systems and...

  • Regulatory Compliance and Legal

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of banking services. THIS...

  • Regulatory Compliance and Legal

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of banking services. THIS...

  • Junior Compliance Analyst with An Ica Certificate

    4 weeks ago

    London, United Kingdom Page Personnel Finance Full time

    This is a new opportunity for a Junior Compliance Analyst with an ICA Certificate to work for a Financial Services business in the City of London. The Junior Compliance Analyst with an ICA Certificate will be expected to work in the office 4 days per weekwith 1 day working from home. An ICA or ACAMS certificate is a must for this role. No other experience...

  • Senior Compliance Analyst

    2 weeks ago

    City of London, Greater London, United Kingdom Page Personnel Sales Full time

    Investigate SARs from relevant person(s), relating to financial crime. Monitor continuous screening for sanctions, PEPs and adverse media Assist with the update of the company's Governance, Risk and Compliance framework. Review the assigned policies and procedures. Propose amendments to the Chief Compliance Officer (MLRO). Assist the Chief Compliance...

  • Mlro

    3 weeks ago

    London, United Kingdom eFinancialCareers Full time

    Responsibilities of the MLRO include: - Report to the Board, Compliance Director, including an annual MLRO report to the Board - Design, develop and implement a financial crime strategy across the business Manage and lead the financial crime onboarding team - Chair and run the Financial Crime Committee as well as delivering monthly management information...

  • Senior Compliance Analyst

    4 weeks ago

    London, United Kingdom Page Personnel Sales Full time

    Assist with the update of the company's Governance, Risk and Compliance framework. Review the assigned policies and procedures. Propose amendments to the Chief Compliance Officer (MLRO). Assist the Chief Compliance Officer (MLRO) as directed on projects e.g. Audits, Remediation etc. Assist with Customer Risk Assessments. Conduct the assigned compliance...