Compliance Director

4 days ago

London, Greater London, United Kingdom Compliance Professionals Full time

The Role:

We are seeking a highly experienced Compliance Director to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring all managers fulfill their responsibilities, overseeing and assisting senior management as required, and developing and maintaining policies and procedures of the AML/CTF.

Key Responsibilities:

  1. Accountable for ensuring all managers fulfill their responsibilities
  2. Overseeing and assisting senior management as required
  3. Developing and maintaining policies and procedures of the AML/CTF
  4. Conducting an annual risk assessment
  5. Receiving and assessing all internal Suspicious Activity Reports (SARs)
  6. Being the point of contact with NCA and other regulatory, law enforcement, and investigatory agencies on AML matters
  7. Ensuring compliance with AML staff training obligations
  8. Overseeing the sanctions and transaction monitoring regime within the Bank
  9. Developing and implementing the Compliance Framework
  10. Ensuring that the Bank consistently and effectively operates within all relevant regulatory and statutory requirements at all times
  11. Advising on changes in the rules and regulations and compliance standards
  12. Completing and submitting regulatory returns to the FCA/PRA/other Regulators
  13. Maintaining and overseeing record keeping
  14. Ensuring that the Bank's Complaints Procedures are correctly followed and reports made to the FCA as appropriate
  15. Monitoring and recording the Bank's compliance with the legal and regulatory requirements
  16. Liaising with regulators as necessary
  17. Managing the Financial Crime and Compliance function
  18. Preparing and presenting the MLRO annual report
  19. Being an active member of the Executive Risk Committee

Requirements:

  1. Experience in areas of compliance and holding SMF17 or substantial experience operating at a deputy and wanting to take the next step
  2. Ideal experience in a banking environment
  3. Strong understanding of relevant UK regulatory requirements
  4. Detailed understanding of financial services compliance
  5. Strong stakeholder management experience

For further information, please contact Natalie Eshelby.

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