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 distinguished private banking institution dedicated to delivering customized financial services to affluent clients, families, and organizations.

KEY RESPONSIBILITIES:

  • Offer expertise in UK financial crime compliance to internal teams,
  • Revise and enhance the organization's Financial Crime Compliance (FCC) Policies and Procedures in alignment 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 UK compliance risks associated with new initiatives, products/services, or emerging regulations concerning FCC issues,
  • Serve as the primary liaison with the FCA on Financial Crime matters, keeping senior management informed as needed,
  • Stay informed about significant regulatory developments affecting Financial Crime Compliance, including reviewing relevant consultation documents, guidance, and enforcement actions,
  • Address and follow up on any concerns raised by regulators regarding FCC issues,
  • Organize and oversee all regulatory and internal audit obligations related to FCC,
  • Develop an annual compliance risk assessment and monitoring strategy to ensure objectives are regularly evaluated and met,
  • Ensure that FCC operations comply with all legal and regulatory standards and industry best practices as established by the FCA,
  • Actively participate in operational processes managed by the team, such as due diligence, periodic reviews, controls, and quality assurance, and escalate issues for further investigation if necessary.
  • Oversee the MLRO responsibilities for the Bank, ensuring that all AML policies and procedures are effectively communicated to stakeholders and provide ongoing support to front office staff regarding financial crime matters,
  • Manage Suspicious Activity Reports and make disclosures to the NCA when deemed necessary by the MLRO.
  • Provide strong leadership and management of the Financial Crime Compliance Team, fostering high performance standards and ensuring exceptional service delivery to both internal and external clients consistently,
  • Conduct performance evaluations for FCC team members in accordance with the Group's established procedures.

QUALIFICATIONS:

  • Proven experience in developing compliance policies to meet applicable UK regulations.
  • A minimum of 10 years in a senior FCC role, team leadership, or head of FCC position within a UK regulated bank or investment firm, particularly in Private Banking or Wealth Management.
  • Ability to work independently, taking full ownership and responsibility for assigned tasks;
  • Strong attention to detail with a capacity to deliver precise outputs under tight deadlines.
  • Experience managing remediation, audit-related challenges, and FCA inspections.
  • Exceptional interpersonal and leadership abilities, with a collaborative approach and experience working effectively in diverse teams.
  • Solid operational knowledge and proficiency in IT tools (Microsoft Excel, Word, PowerPoint, etc.).

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