Deputy Head of Compliance

6 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 permissions/applicable regulation & build and maintain a strong compliance framework and culture.

**THE RESPONSIBILITIES**:

- Assist in the identification of regulatory/reputational risk and in the development, implementation, monitoring and maintenance of applicable policies, procedures and internal controls to maintain a strong compliance framework with a view to managing/mitigating compliance risk;
- Oversee the trade monitoring function undertaken by the Compliance Team; support the Compliance Team in the escalation/resolution of issues as they arise and the enhancement of monitoring tools/processes;
- Review reports, risk indicators and red flags to identify and propose remedial action to improve the control framework.
- Undertake daily compliance monitoring (as applicable) including the best execution price check and commission override exceptions report;
- Deliver on-going support to the business including advice on exchange rules, regulation and internal policies/procedures;
- Ensure the timely identification of regulatory change, assess the impact on the business, revise/implement applicable policies/procedures as necessary;
- Responsible for the submission to the exchanges, CCPs etc. for client related information relating to Ownership & Control Reporting (OCR), such as the COTR (LME), Form 102’s to the CME, CFTC, ICE via the various on-line portals;
- Assist in the documentation of regulatory reviews and updating of the Compliance Monitoring Plan;
- Assist with the maintenance of the Compliance and Financial Crime Manual;
- Assist in the submission of regulatory report filings and surveys;
- Assist in the annual attestation roll out (Fit & Proper / Significant Influence/SMCR);
- Maintain regulatory logs, such as breaches, third party payments, gifts, complaints etc.;
- Assist in liaising with any queries from the NCA;

**EXPERIENCE REQUIRED**:

- Strong knowledge of UK/EU regulatory framework
- Strong knowledge of AML/CTF processes, trading, Market Abuse Regulation and Surveillance
- Strong knowledge of Wholesale Commodities Markets (LME, ICE, SGX, HKFE, CME) Rules and Regulations
- Experience in liaising with Regulators, Exchanges and Market Operators

For further information please contact Jordan White

**Location**:
London

Specialism:
AML,
Monitoring

**Salary**:
Up to £120,000+benefits

Type:
Permanent

Reference:
18844

  • Deputy Head of Compliance

    6 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

    1 month 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 a permanent basis. THE RESPONSIBILITIES: Accountable for ensuring all managers fulfil their responsibilities Overseeing and assisting Senior Management as required To constantly develop and...

  • Head of Compliance

    1 month 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 a permanent basis. THE RESPONSIBILITIES: Accountable for ensuring all managers fulfil their responsibilities Overseeing and assisting Senior Management as required To constantly develop and...

  • Deputy Head of Safety and Compliance

    5 days ago

    London, United Kingdom VHR Global Technical Recruitment Full time

    Job Description Deputy Head of Safety and Compliance Reporting to the Head of Safety and Compliance, this role involves supporting the development, administration, and maintenance of an effective Safety Management and Compliance Monitoring System that meets regulatory and company requirements. The Deputy will act as Head of Safety and Compliance in their...

  • Deputy Head of Safety and Compliance

    5 days ago

    London, United Kingdom VHR Global Technical Recruitment Full time

    Deputy Head of Safety and ComplianceReporting to the Head of Safety and Compliance, this role involves supporting the development, administration, and maintenance of an effective Safety Management and Compliance Monitoring System that meets regulatory and company requirements. The Deputy will act as Head of Safety and Compliance in their absence.Key...

  • Deputy Head of Safety and Compliance

    2 days ago

    London, United Kingdom VHR Global Technical Recruitment Full time

    Deputy Head of Safety and ComplianceReporting to the Head of Safety and Compliance, this role involves supporting the development, administration, and maintenance of an effective Safety Management and Compliance Monitoring System that meets regulatory and company requirements. The Deputy will act as Head of Safety and Compliance in their absence.Key...

  • Deputy Head of Safety and Compliance

    6 days ago

    London,, UK, United Kingdom VHR Global Technical Recruitment Full time

    Deputy Head of Safety and ComplianceReporting to the Head of Safety and Compliance, this role involves supporting the development, administration, and maintenance of an effective Safety Management and Compliance Monitoring System that meets regulatory and company requirements. The Deputy will act as Head of Safety and Compliance in their absence.Key...

  • Deputy Head of Compliance

    6 months ago

    London, United Kingdom Rothstein Recruitment Full time

    Posted by - Will Buckner- Senior Consultant**Deputy Head of Compliance - International Banking** Excellent opportunity opens for an experienced Deputy Head of Compliance/ Compliance Manager an **International Banking** background to join an **International Bank's London office** and work in a crucial capacity. - Closely support the Head of Compliance and...

  • Regulatory Compliance

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    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 a permanent basis. To constantly develop and maintain policies and procedures of the AML/CTF # Conduct an annual risk assessment # To be point of contact with NCA and other regulatory, law enforcement and...

  • Regulatory Compliance and Legal

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    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 a permanent basis.Accountable for ensuring all managers fulfil their responsibilitiesOverseeing and assisting Senior Management as requiredTo constantly develop and maintain policies and procedures of the...

  • Regulatory Compliance and Legal

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    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 a permanent basis.Accountable for ensuring all managers fulfil their responsibilitiesOverseeing and assisting Senior Management as requiredTo constantly develop and maintain policies and procedures of the...

  • Regulatory Compliance and Legal

    1 month ago

    London, United Kingdom Compliance Professionals Full time

    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 a permanent basis.Accountable for ensuring all managers fulfil their responsibilitiesOverseeing and assisting Senior Management as requiredTo constantly develop and maintain policies and procedures of the...

  • Deputy Head of Compliance

    4 weeks ago

    London, UK, United Kingdom CLARC Recruitment Full time

    We are recruiting for growing Institutional Brokerage firm looking to hire a Deputy Head of Compliance to assist with the day to day running of a busy compliance function. This role will be based in the office 5 days a week and there is a development/succession plan in place to take over running the team in the future. Main Responsibilities Trade monitoring...

  • Deputy Head of Compliance

    1 month ago

    London, United Kingdom CLARC Recruitment Full time

    We are recruiting for growing Institutional Brokerage firm looking to hire a Deputy Head of Compliance to assist with the day to day running of a busy compliance function. This role will be based in the office 5 days a week and there is a development/succession plan in place to take over running the team in the future. Main Responsibilities Trade monitoring...

  • Head of Compliance

    5 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...

  • Deputy Regulatory Compliance Officer

    6 months ago

    London, United Kingdom Viva.com Full time

    **Deputy Regulatory Compliance Officer / Deputy Regulatory Compliance Manager (Payments - acquiring)** **Location: London (Office based role)** As a Regulatory Compliance Officer / Deputy Regulatory Compliance Manager are you looking for an opportunity where you can develop your skills, experience and grow with one of Europe's fastest growing and...

  • Head of Compliance

    2 days 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

    2 days 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

    2 days 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...