Global Head of Compliance

2 weeks ago

London, United Kingdom EquiLend Full time

**About EquiLend**

The EquiLend Group has offices in Boston, Dublin, Hong Kong, India, London, New Jersey, New York, Tokyo, and Toronto.

**Global Head of Compliance Role**

We are seeking an experienced Global Head of Compliance to be based in our London, Dublin or New York offices. The role will involve managing a strategic global function, taking ownership to ensure EquiLend is operating in full compliance with our global regulatory obligations, professional and internal policy standards and maintains the culture of compliance at EquiLend to support the identification, escalation, and prompt mitigation of compliance risks.

The role holder will be responsible for the management of the delivery of the annual compliance and risk management programme, in doing so, ensuring that the global compliance team provide timely compliance advice, conduct proactive oversight, monitoring and control effectiveness, provision of training to staff, and assist with new business initiatives (new markets, new products, change in processes, etc.).

**Global Head of Compliance Responsibilities**
- Acting as the main point of contact for regulatory and compliance matters relating to our regulated products business; including operating multilateral trading facilities, organized trading facilities, and alternative trading systems.
- Maintaining the culture of compliance and supporting the identification, escalation, and prompt mitigation of compliance risks while also ensuring documents and regulatory adherences are in place as part of the client onboarding process
- Providing guidance and advice to Management, Board Members, including Independent Non-Executive Directors, and the General Counsel on regulatory matters.
- Preparing and delivering Compliance regulatory updates for the Board and Committee Meetings, or directly to the Board of Directors as required.
- Responsibility for support, guidance and compliance on global domestic financial crime & AML laws, and regulations
- Signing off client due diligence files
- Responsibility for developing, implementing and maintaining the Compliance programme for our global regulated entities, including periodic risk assessment and MI reporting
- Being the lead and managing the regulatory relationships with the CBI, FCA, FINRA, SEC, IIROC, OSC, ASIC, SFC (HK) and any other regulators that may be required.
- Ensuring regulatory obligations, such as standard, frequent and ad hoc regulatory filings and reporting to global regulators, are made in a correct and timely fashion.
- Developing, maintaining and strengthening the relationship between Compliance and the business by providing timely and effective advice and working closely with the business to develop pragmatic solutions/opportunities while remaining cognizant of regulatory rules, obligations and expectations.
- Develop and implement procedures to enhance business productivity and efficiency, and manage change. Responsible for managing initiatives of significant scope and scale.
- Advancing promptly any significant regulatory or operational risks identified to the Senior Management Team, and Board of Directors as appropriate..
- Assisting and supporting the global Compliance team on regulatory initiatives, particularly with respect to identifying, assessing and implementing regulatory change.
- Developing, maintaining and updating relevant regulatory policies, processes and procedures. Advising the business on all aspects of these policies, processes and procedures.
- Leading all aspects of the planning and preparation of regulatory, internal and external audits, reviewing and approving documentation gathered to respond to audit and regulatory enquiries.

**Head of Compliance Requirements**
- A minimum of 5 years’ experience in a senior compliance role with global oversight
- Educated to bachelor’s degree level, or have the equivalent experience or qualifications in a relevant discipline
- A minimum of 2-3 years related work experience within a financial institution
- Able to work in a collaborate manner with team personnel and other staff within the Firm and across the group
- Strong analytical, research and reporting skills
- Judgment to balance commercial and compliance risks to achieve positive outcomes
- Knowledge of MiFID and ATS regulated trading venues / platforms or securities lending is an advantage
- Detailed knowledge and understanding of regulated activity, in particular UK, US, CAN and EU regulatory framework.
- Significant Financial Crime knowledge and experience, especially the CBI, FCA, SEC & FINRA, IIROC & OSC regimes, AML and Counter Terrorist Finance.
- Knowledge of regulations / market practice in other jurisdictions, such as Asia (HK, Japan, Singapore), would be desirable, for example, in relation to outsourcing, market abuse, conduct, etc.

**Other Desirable Skills & Experience**
- Project Management and Change Management experience
- Program and Team Management experience
- Must be collaborative/curious/

  • Head of Compliance

    1 week 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

    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...

  • Global Head of New Business Intake

    6 days ago

    London, United Kingdom AJ Fox Compliance Full time

    A leading law firm is hiring a Global Head of Business Acceptance to manage the firm’s client onboarding processes across all jurisdictions, reporting in to the General Counsel. The salary for this role is negotiable. Your responsibilities will include: - Establishing a centralized client onboarding team hub with consistent processes and reporting...

  • 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...

  • Head of Compliance

    3 weeks ago

    London, United Kingdom PRO GLOBAL Full time

    Pro has an exciting opportunity for a Head of Compliance to join its Pro MGA Solutions team. The successful postholder will take overall responsibility for industry and regulatory compliance in respect of the responsibilities and obligations of Pro MGA. The role includes a position on the company’s Board of Directors and necessitates compliance with all...

  • Deputy Head of Compliance

    4 days ago

    London, United Kingdom Compliance Professionals Full time

    We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory and various other legal...

  • Deputy Head of Compliance

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory and various other legal...

  • Compliance Advisory Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...

  • Deputy Head of Compliance

    4 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. Apply fast, check the full description by scrolling below to find out the full requirements for this role.THE RESPONSIBILITIES:Designated Business...

  • Deputy Head of Compliance

    4 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory...

  • Deputy Head of Compliance

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reporting Carry out regulatory...

  • Head of Global Compliance

    7 days ago

    London, United Kingdom Wood Mackenzie Full time

    Company Description Wood Mackenzie is the global leader in data, analysis and consulting across the energy, chemicals, metals, mining, power and renewables sectors. Founded in 1973, our success has always been underpinned by the simple principle of providing trusted research and advice that makes a difference to our customers. Today we have over 2,000...

  • Deputy Head of Compliance

    4 days ago

    London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reportingCarry out...

  • Business Unit Compliance Officer Asset Management

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. To build a close working relationship with each of the business units to support Compliance matters as required. To work...

  • Business Unit Compliance Officer Asset Management

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. To build a close working relationship with each of the business units to support Compliance matters as required. To work...

  • Legal Compliance Analyst

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is a leading international law and professional services firm providing legal, corporate and fiduciary services to their wide range of clients. Be responsible for reviewing the due diligence of existing entities/clients and where appropriate, re-identifying their ownership and control to assess AML/CTF and sanctions risks and determine...

  • Global Head of Assurance, Risk and Compliance

    4 weeks ago

    London, United Kingdom Amazon Payments UK Limited Full time

    Have at least 8 years’ experience in compliance and/or risk management; - 6+ years of experience in banking, payments or e-commerce companies including retail payments, consumer credit, lending and insurance within a second or third line of defense function; - Experience advising, supervising, interpreting and communicating complex regulations to a diverse...

  • Senior Compliance Manager

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...

  • Global Head of Risk

    4 weeks ago

    London, United Kingdom ZEDRA Full time

    We are a global powerhouse providing Corporate & Global Expansion, Active Wealth, Pension & Incentive services and Fund solutions, all aligned under one common goal:  to DO MORE so our clients and our people can ACHIEVE MORE . We believe in taking care of our people and in serving our clients with reliability, agility and creativity while adhering to...

  • Deputy Head of Compliance

    5 days ago

    Greater London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES: Designated Business Reporting officer for Compliance Operational Risk Self-Assessment reportingCarry out regulatory and...