Chief Compliance Officer
3 days ago
Location: London, GB
We are seeking a dynamic and experienced individual to lead our Surveillance and Controls Unit. As Chief Compliance Officer, you will be responsible for developing, implementing, and overseeing a robust monitoring and surveillance program to detect and prevent potential misconduct, market abuse, and other compliance violations within the organisation.
The ideal candidate will have excellent knowledge of the UK regulatory framework, particularly the FCA rulebooks: COBS, MAR, SYSC, and an understanding of European regulations such as MiFID, EMIR, STFR, etc.
Key Responsibilities:
- Oversee the day-to-day compliance monitoring programme ('CMP')
- Investigate and track Compliance incidents and breaches, and develop and implement remediation plans to address root causes and prevent recurrence
- Design and deliver periodic monitoring and surveillance reports and MI to the Head of Regulatory Compliance and the Compliance Committee
- Contribute to the resolution of compliance issues arising from the execution of non-financial regulatory reporting obligations
- Delve into complex system infrastructure to understand impact of data flows and booking models on reporting quality
- Design, produce and keep updated KPIs of monitoring and surveillance activities as well as monitoring the evolution of KRIs
- Actively monitor compliance risks related to business operations of the Branch and the launch of new products and services
- Maintain a good understanding of the FCA and PRA rules and regulation applicable to the Branch and a broad awareness of European rules and regulation that may impact the UK
- Collaborate on the Annual Compliance Risk Assessment
- Work with the Regulatory Alignment and Advisory Unit to ensure any new internal or external rules or changes are implemented effectively within the CMP
- Support the Branch's compliance culture through proactive engagement and advice to stakeholders of operational departments
About Intesa Sanpaolo Group
Intesa Sanpaolo is the banking group leader in Italy. We significantly support the development of companies and give an important sustain to the country's growth. We have a selected retail banking presence in Central and Eastern Europe, the Middle East and North Africa, with approximately 1,000 branches and 7.2 million customers in 12 countries.
Requirements:
- Degree educated (Law/accountancy/economics/business) or relevant professional qualifications (CISI/ICA)
- Excellent knowledge of the UK regulatory framework
- An understanding of one or more of the following asset classes: fixed income, equities, FX or equity derivatives
- Fluent in a European language would be beneficial
- Knowledge of corporate & investment banking
Estimated Salary Range: £60,000 - £80,000 per annum
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Chief Compliance OfficerOur client, a leading international banking organization, is seeking a highly skilled Chief Compliance Officer to join their team on a permanent basis.Key Responsibilities:Ensure all managers fulfill their responsibilities and oversee the implementation of compliance policies and procedures.Develop and maintain policies and...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Wise Full timeJob Title: Chief Compliance OfficerCompliance Wise is seeking a highly experienced Chief Compliance Officer to lead our global Compliance function. As a key member of our senior leadership team, you will be responsible for ensuring that our firm meets and maintains the highest standards in professional conduct and quality, adhering to our legal and...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Wise Full timeJob Title: Chief Compliance OfficerWe are seeking a highly experienced Chief Compliance Officer to lead our global Compliance function. As a key member of our senior leadership team, you will be responsible for ensuring that our business meets and maintains the highest standards in professional conduct and quality, adhering to our legal and regulatory...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom Eames Consulting Full timeJob Title: Chief Compliance Officer Job Description: We are seeking a seasoned Chief Compliance Officer to join our team at Eames Consulting. As a key member of our Wealth and Asset Management practice, you will be responsible for leading our compliance efforts and ensuring that our clients' businesses operate within the bounds of regulatory...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom MERJE Ltd Full timeChief Compliance OfficerMERJE Ltd is seeking a seasoned Chief Compliance Officer to join their team in London. This critical hire will play a pivotal role in maintaining regulatory standards and fostering a culture of compliance across the business.Key Responsibilities:Provide comprehensive compliance advisory support to fund managersMaintain and update...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom MERJE Ltd Full timeJob Title: Chief Compliance OfficerMerje Ltd is seeking a highly skilled and experienced Chief Compliance Officer to join our team. As a key member of our leadership team, you will be responsible for providing broad compliance advisory support to our fund managers.Key Responsibilities:Develop and maintain a comprehensive compliance program that meets...
-
Chief Compliance Officer
5 days ago
London, Greater London, United Kingdom Ripple Full timeJob SummaryRipple is seeking an experienced Chief Compliance Officer to manage and enhance our Global Compliance team in the United Kingdom. This role will focus on operationalizing Ripple's United Kingdom AML/CTF and sanctions program, including working closely with the Regulatory Compliance team on local license applications.About YouWe're looking for a...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom Simmons & Hanbury Full timeJob OverviewSimmons & Hanbury seeks a seasoned professional to lead its compliance efforts in the UK. As Chief Compliance Officer, you will be responsible for ensuring the firm's adherence to regulatory requirements and maintaining a strong relationship with regulatory bodies.Develop and implement a comprehensive compliance framework to mitigate risks and...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom Barclay Meade Full timeBarclay Meade is seeking a seasoned professional to lead our Trade Compliance efforts in the UK. As Chief Compliance Officer, you will be responsible for ensuring our export control activities are in compliance with relevant regulations. This includes providing timely export license services, conducting internal audits, and hosting ECJU audits. You will work...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom DMJ Recruitment Full timeDMJ Recruitment is partnering with an asset management group to find their first Chief Compliance Officer.The role will take ownership of the group's growing compliance and legal functions, leading a small team with a broad reach and exposure across the group.This is an exciting time to be part of the group's strategic growth strategy, with a focus on...
-
Chief Compliance Officer
4 weeks ago
London, Greater London, United Kingdom Profectus Recruitment Full timeProfectus Recruitment is working with a global fintech organisation to find a Chief Compliance Officer. This role is ideal for a seasoned professional with experience in compliance leadership. You will be working for a leading global company that prioritises a positive work culture. This is a Hybrid role with three days in the office a week. Your main...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom Simmons & Hanbury Full timeOur client, a leading multi-strategy hedge fund, is seeking a seasoned Chief Compliance Officer to join their UK-based team. The ideal candidate will have a strong background in regulatory compliance and experience in managing a team of compliance professionals.Key Responsibilities:Act as the primary point of contact with regulatory bodies and...
-
Chief Compliance Officer
4 weeks ago
London, Greater London, United Kingdom InterQuest Solutions Full timeInterQuest Solutions is seeking a seasoned Chief Compliance Officer to spearhead the company's compliance efforts in the UK financial services landscape. The ideal candidate will have a proven track record in obtaining Electronic Money Institution (EMI) licenses and ensuring adherence to UK financial regulations, including anti-money laundering (AML), Know...
-
Chief Compliance Officer
1 month ago
London, Greater London, United Kingdom Willow Resourcing Full timeJob SummaryWe are seeking a highly experienced and skilled Chief Compliance Officer to join our team at Willow Resourcing. As a key member of our leadership team, you will be responsible for developing and implementing our Compliance framework, policies, and procedures.Key Responsibilities:Develop and maintain a comprehensive Compliance framework, including...
-
Chief Compliance Officer
5 days ago
London, Greater London, United Kingdom Prevail Full timeWe are seeking an experienced Chief Compliance Officer to drive compliance initiatives and ensure alignment with our objectives.Key Responsibilities:Stay up-to-date with evolving regulations and standards, adapting policies and practices as necessaryDevelop and implement compliance policies, procedures, and best practices to ensure adherence to relevant...
-
Chief Compliance Officer
7 days ago
London, Greater London, United Kingdom AJ FOX COMPLIANCE Full timeAbout the RoleA high-impact opportunity has arisen for a seasoned Legal Risk & Compliance professional to lead the compliance strategy and team at AJ FOX COMPLIANCE.This key role encompasses all aspects of AML, sanctions, and regulatory compliance while driving innovation and best practices across the organization.You will collaborate with key stakeholders,...
-
Chief Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Payhawk Full timeJob Title: Chief Group Compliance OfficerJob Overview:Payhawk is a leading global spend management solution for scaling businesses, headquartered in London. The company combines company cards, reimbursable expenses, and accounts payable into a single product, enabling finance teams to control and automate company spending at scale.This role is responsible...
-
Compliance Director
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Director Job DescriptionWe are seeking a highly skilled Compliance Director to join our team at Compliance Professionals. The successful candidate will be responsible for leading our regulatory compliance efforts and ensuring that our business operations are in line with relevant laws and regulations.Key Responsibilities:Lead regulatory horizon...
-
Compliance Officer
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Officer RoleWe are seeking a Compliance Officer to support our boutique wholesale bank in ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Monitor and assess compliance with regulatory requirements and internal policies.Assist with the development and implementation of compliance policies and...
-
Chief Tax Compliance Officer
1 month ago
London, Greater London, United Kingdom Cedar Recruitment Full timeJob DescriptionCedar Recruitment is seeking a seasoned professional to lead the tax department in ensuring compliance and accuracy in reporting. As Chief Tax Compliance Officer, you will be responsible for managing compliance and reporting, answering ad-hoc queries, and overseeing the outsourced compliance provider.Key Responsibilities:Manage compliance and...