Current jobs related to Head of Compliance Policy - London, Greater London - Gold Grain Capital Ltd

  • Head of Banking Policy and Compliance Specialist

    2 months ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    {"title": "Head of Banking Policy and Compliance", "description": "Key ResponsibilitiesAs a key member of our team, you will be responsible for ensuring that our client's banking operations are in compliance with all relevant regulatory requirements. This includes:Overseeing the development and implementation of policies and procedures related to anti-money...

  • Head of Banking Policy and Compliance Specialist

    2 months ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    {"title": "Head of Banking Policy and Compliance", "description": "Key ResponsibilitiesAs a key member of our team, you will be responsible for ensuring that our client's banking operations are in compliance with all relevant regulatory requirements. This includes:Overseeing the development and implementation of policies and procedures related to anti-money...

  • Head of Banking Policy and Compliance Specialist

    2 months ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About Compliance ProfessionalsWe are a leading provider of compliance solutions to the financial services industry. Our team of experts helps organizations navigate complex regulatory requirements and develop effective compliance programs.Job SummaryWe are seeking a highly experienced Head of Banking Policy and Compliance to join our team. The successful...

  • Head of Banking Policy and Compliance Specialist

    2 months ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About Compliance ProfessionalsWe are a leading provider of compliance solutions to the financial services industry. Our team of experts helps organizations navigate complex regulatory requirements and develop effective compliance programs.Job SummaryWe are seeking a highly experienced Head of Banking Policy and Compliance to join our team. The successful...

  • Compliance Manager Policy Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Manager Policy RoleOur client is a leading investment manager providing Real Estate funding, Private Equity, and growth capital. They are seeking a Compliance Manager Policy to join their team.Key Responsibilities:Proactively identify and review regulatory developments, assessing their impact on the business and its products and services.Support...

  • Compliance Manager Policy Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Manager Policy RoleOur client is a leading investment manager providing Real Estate funding, Private Equity, and growth capital. They are seeking a Compliance Manager Policy to join their team.Key Responsibilities:Proactively identify and review regulatory developments, assessing their impact on the business and its products and services.Support...

  • Compliance Manager Policy Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Manager Policy RoleOur client, a leading investment manager, is seeking a skilled Compliance Manager Policy to join their team. As a key member of the Compliance function, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards.Key Responsibilities:Monitor and analyze regulatory...

  • Compliance Manager Policy Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Manager Policy RoleOur client, a leading investment manager, is seeking a skilled Compliance Manager Policy to join their team. As a key member of the Compliance function, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards.Key Responsibilities:Monitor and analyze regulatory...

  • Compliance Manager Policy Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Manager Policy to join our team at Compliance Professionals. The successful candidate will be responsible for proactively identifying and reviewing regulatory developments and changes, assessing their impact on the business and its products and services.Key Responsibilities:Proactively identify and...

  • Compliance Manager Policy Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Manager Policy Job DescriptionOur client is an award-winning investment manager, providing Real Estate funding, Private Equity and is a leading provider of growth capital.Key Responsibilities:Proactively identify and review regulatory developments and changes, pre-emptively assess impact on the Business and its products and services.Support the...

  • Compliance Manager Policy Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Manager Policy Job DescriptionOur client is an award-winning investment manager, providing Real Estate funding, Private Equity and is a leading provider of growth capital.Key Responsibilities:Proactively identify and review regulatory developments and changes, pre-emptively assess impact on the Business and its products and services.Support the...

  • Head of Regulatory Compliance

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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:Develop and implement...

  • Head of Regulatory Compliance

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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:Develop and implement...

  • Head of Regulatory Compliance

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Asset ComplianceOur client is a leading online multi-asset brokerage firm, specializing in FX/CFD products. This role will report directly to the Global Head of Risk and Compliance.Key Responsibilities:Establish and Maintain Compliance Frameworks: Develop and implement appropriate policies, procedures, systems, and controls in relation to...

  • Head of Regulatory Compliance

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Asset ComplianceOur client is a leading online multi-asset brokerage firm, specializing in FX/CFD products. This role will report directly to the Global Head of Risk and Compliance.Key Responsibilities:Establish and Maintain Compliance Frameworks: Develop and implement appropriate policies, procedures, systems, and controls in relation to...

  • Head of Compliance and Risk Management

    2 months ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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

    2 months ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job 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 Policy

2 months ago

London, Greater London, United Kingdom Gold Grain Capital Ltd Full time
Job Title: Head of Compliance Policy

Company: Gold Grain Capital Ltd

Location: London, United Kingdom

Job Type: Full-Time

Job Description:

Overview:

As the Head of Compliance Policy, you will play a pivotal role in ensuring that our operations adhere to all relevant regulations and standards in all geographies in which the firm operates. You will be responsible for developing, implementing, and overseeing our compliance program, as well as providing guidance to internal stakeholders on compliance matters.

Key Responsibilities:

  1. Develop and Maintain Compliance Policies: Ongoing development and maintenance of policies and procedures to ensure compliance with applicable laws and regulations, including but not limited to anti-money laundering (AML), know your customer (KYC), and sanctions regulations.
  2. Conduct Compliance Risk Assessments: Conduct regular compliance risk assessments and implement controls to mitigate identified risks.
  3. Monitor Regulatory Changes: Monitor changes in regulatory requirements and assess their impact on the business.
  4. Oversee Compliance Monitoring: Oversee compliance monitoring and testing activities to ensure effectiveness.
  5. Regulatory Inquiries: Act as the primary point of contact for regulatory inquiries and examinations.
  6. Regulatory Documentation: Prepare and submit regulatory documentation to the FCA, AFM, and CONSOB and act as point of contact with the UK, Dutch, and Italian authorities.
  7. Collaboration: Coordination with the head of compliance of other entities of the group.
  8. Global Compliance Projects: Participation in global compliance and AML projects.
  9. Call Monitoring: Call monitoring.
  10. Compliance Guidance: Provide guidance and training to Company staff on compliance and AML-related matters.
  11. Regulatory Analysis: Conducting regulatory analysis prior to the launch of new financial products and providing advice to the business units involved.
  12. Regulatory Implementation: Coordination with all business units for the regulatory implementation of new projects.
  13. Collaboration with Compliance Agencies: Work hand in hand with the outsourced compliance agencies.
  14. Internal Collaboration: Collaborate with internal stakeholders, including legal, risk management, and operations, to address compliance issues and implement solutions.

Qualifications:

  1. Regulatory Compliance Experience: Extensive and proven track record in regulatory compliance within the financial services or consultancy sectors, preferably within MiFID firms (5 years+).
  2. SMF Experience: 3+ years of experience in an SMF role.
  3. Regulatory Knowledge: Thorough comprehension of the UK and European regulatory landscape for financial services, encompassing MiFID II and AML/CTF regulations.
  4. Regulatory Experience: Experience in dealing with Italian AFM (NL), CONSOB (IT), FCA (UK).
  5. Regulatory Knowledge: In-depth knowledge of relevant regulations and standards, such as AML, KYC, and sanctions.
  6. Communication Skills: Produce high-quality material under stress.
  7. Professional Certifications: Professional certifications such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) preferred.

Languages:

Technical Skills: