Head of Financial Crime Compliance

3 weeks ago

London, Greater London, United Kingdom Compliance Professionals Full time
Position Overview

COMPANY PROFILE:

Compliance Professionals is a prominent financial institution dedicated to providing customized financial services to affluent clients, families, and organizations.

KEY RESPONSIBILITIES:

  • Deliver expert guidance on UK financial crime compliance to internal teams.
  • Revise and enhance the organization's Financial Crime Compliance (FCC) Policies and Procedures to align with local regulations and corporate standards.
  • Compile FCC documentation, including management reports and materials for the Head Office as necessary.
  • Support special initiatives as required, demonstrating adaptability in a dynamic work environment.
  • Evaluate and identify compliance risks associated with new projects, products, or regulatory changes affecting FCC.
  • Serve as the primary liaison with the FCA on Financial Crime issues, keeping senior management informed as needed.
  • Stay informed about significant regulatory developments impacting Financial Crime Compliance, including reviewing relevant consultation documents and enforcement actions.
  • Address and follow up on any concerns raised by regulators regarding FCC.
  • Coordinate all regulatory and internal audit activities related to FCC.
  • Develop an annual compliance risk assessment and monitoring strategy to ensure objectives are regularly reviewed and met.
  • Ensure that FCC operations comply with all legal and regulatory standards as established by the FCA.
  • Actively participate in operational processes managed by the team, including due diligence, periodic reviews, and quality assurance, while escalating issues for further investigation when necessary.
  • Oversee the MLRO responsibilities for the organization, ensuring that all Anti-Money Laundering (AML) policies are effectively communicated and providing ongoing support to front office staff regarding financial crime matters.
  • Manage the submission of Suspicious Activity Reports and disclosures to the NCA when deemed necessary.
  • Lead and manage the Financial Crime Compliance Team, fostering high performance standards and ensuring exceptional service delivery to both internal and external clients.
  • Conduct performance evaluations for FCC team members in accordance with the organization's established procedures.

QUALIFICATIONS:

  • Proven experience in developing compliance policies to meet UK regulatory requirements.
  • A minimum of 10 years in a senior FCC role or as a team leader in a UK regulated bank or investment firm, particularly in Private Banking or Wealth Management.
  • Ability to work independently, taking full ownership of assigned tasks.
  • Strong attention to detail with a capacity to produce accurate results under tight deadlines.
  • Experience managing remediation efforts, audit-related issues, and FCA inspections.
  • Exceptional interpersonal and leadership abilities, with a collaborative approach to teamwork in an international context.
  • Proficient in IT applications, including Microsoft Excel, Word, and PowerPoint.

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