Head of Regulatory Compliance
18 hours ago
We are seeking a highly experienced and skilled Head of Asset Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant regulatory requirements.
Key Responsibilities:- Develop and implement effective compliance programs and policies to ensure regulatory compliance.
- Oversee the implementation of the Compliance Monitoring Plan to assess systems and controls and ensure processes and procedures meet regulatory requirements.
- Liaise with all areas of the business to provide sound advice and guidance on regulatory matters and consider the regulatory risks associated with new business initiatives.
- Act as a point of contact for regulatory bodies and auditors.
- Ensure staff are trained in local regulatory requirements and receive induction training.
- Assess the Company's status of compliance and prepare relevant MI to the Board.
- Take responsibility for the completeness and accuracy of regulatory reporting.
- Effectively deal with any complaints raised by clients and any subsequent interaction with the Financial Ombudsman Service.
- Develop and strengthen relationships across the firm to promote best practice and ensure a good understanding of the regulatory framework.
- Keep up to date with key changes to regulation and legislation.
- Provide support and guidance to the Compliance Team and take responsibility for individual team development.
- Participate in ad hoc investigations, reviews and compliance/financial crime projects as required.
- 7+ years compliance experience gained within a similar organization.
- Thorough understanding of the legal and regulatory frameworks in which the firm operates.
- Proven experience in developing and implementing compliance programs and policies.
- Ability to explain regulatory requirements and advanced compliance concepts clearly and concisely.
We are looking for a highly skilled and experienced professional to join our team. If you have a strong background in compliance and are looking for a new challenge, please apply for this exciting opportunity.
-
Head of Regulatory Compliance
3 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Head of Asset ComplianceWe are seeking a highly experienced and skilled Head of Asset Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant regulatory requirements.Key Responsibilities:Regulatory Compliance:...
-
Head of Regulatory Compliance
3 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Head of Asset ComplianceWe are seeking a highly experienced and skilled Head of Asset Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant regulatory requirements.Key Responsibilities:Regulatory Compliance:...
-
Head of Regulatory Compliance
2 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionWe're seeking a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management to join AJ FOX COMPLIANCE as our Head of Regulatory Compliance.This high-impact role covers all aspects of AML, sanctions, and regulatory compliance while driving innovation and best...
-
Head of Regulatory Compliance
2 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionWe're seeking a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management to join AJ FOX COMPLIANCE as our Head of Regulatory Compliance.This high-impact role covers all aspects of AML, sanctions, and regulatory compliance while driving innovation and best...
-
Regulatory Compliance Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our organization is a dedicated, investment-focused fund management firm, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily compliance...
-
Regulatory Compliance Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeABOUT THE ORGANIZATION:Our client is a prominent investment-focused fund management entity, overseeing assets totaling over £18 billion. KEY RESPONSIBILITIES:Continuous assessment and improvement of the Compliance Monitoring Framework, including controls and oversight, collaborating with management and department heads on compliance measures.Daily...
-
Regulatory Compliance Leader
2 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionJob Title: Head of RegulatoryCompany: AJ FOX COMPLIANCEJob Type: Full-timeIndustry: Legal ServicesLocation: Remote (Global)About Us: AJ FOX COMPLIANCE is a leading provider of compliance solutions to the legal industry.Job Summary:We are seeking a highly experienced and skilled Head of Regulatory to lead our compliance strategy and team. The...
-
Regulatory Compliance Leader
2 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionJob Title: Head of RegulatoryCompany: AJ FOX COMPLIANCEJob Type: Full-timeIndustry: Legal ServicesLocation: Remote (Global)About Us: AJ FOX COMPLIANCE is a leading provider of compliance solutions to the legal industry.Job Summary:We are seeking a highly experienced and skilled Head of Regulatory to lead our compliance strategy and team. The...
-
Regulatory Compliance Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client operates as a prominent global investment management firm, with its headquarters situated in Europe. Their expertise encompasses secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Delivering management...
-
Regulatory Compliance Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...
-
Regulatory Compliance Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCOMPANY OVERVIEW:Our client is a prominent global investment management organization based in Europe, specializing in secured loans, structured finance, and private credit solutions.KEY RESPONSIBILITIES:Overseeing the classification and inquiries related to the Code of Ethics for all personnel.Providing management insights to the Head of Compliance & Risk...
-
Head of Compliance and Risk Management
16 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...
-
Head of Compliance and Risk Management
19 hours ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...
-
Head of Compliance
3 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAre you a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management?We're seeking a dynamic Head of Compliance to lead our compliance strategy and team at AJ FOX COMPLIANCE, a global leader in risk and compliance solutions.This high-impact role covers all aspects of AML,...
-
Head of Compliance
3 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAre you a seasoned Legal Risk & Compliance professional with a passion for Anti-Money Laundering (AML), regulatory compliance, and conflict management?We're seeking a dynamic Head of Compliance to lead our compliance strategy and team at AJ FOX COMPLIANCE, a global leader in risk and compliance solutions.This high-impact role covers all aspects of AML,...
-
Head of Compliance and MLRO
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewCompliance Professionals is a leading organization in the financial industry, dedicated to providing top-notch compliance services to its clients.Job SummaryWe are seeking a highly experienced and skilled Head of Compliance and MLRO to join our team. The successful candidate will be responsible for ensuring that our organization complies with...
-
Head of Compliance and Risk Management
5 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...
-
Head of Compliance and Risk Management
5 days ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Head of Banking Policy and ComplianceAbout the Role:We are seeking an experienced Head of Banking Policy and Compliance to join our team at Compliance Professionals. As a key member of our organization, you will be responsible for ensuring that our banking operations are in compliance with all relevant regulatory requirements.Key...
-
Head of Compliance
2 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionWe are seeking a seasoned Legal Risk & Compliance professional to lead our compliance strategy and team at AJ FOX COMPLIANCE.The ideal candidate will have over 8+ years of experience in compliance, preferably at an international law firm, with strong business acumen and exceptional leadership skills.The Head of Compliance will be responsible...
-
Head of Compliance
2 weeks ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeJob DescriptionWe are seeking a seasoned Legal Risk & Compliance professional to lead our compliance strategy and team at AJ FOX COMPLIANCE.The ideal candidate will have over 8+ years of experience in compliance, preferably at an international law firm, with strong business acumen and exceptional leadership skills.The Head of Compliance will be responsible...