Compliance Risk Manager

3 weeks ago

London, Greater London, United Kingdom Compliance Professionals Full time

Company Overview:

Our client is a world-leading specialist broker based in the City, providing expert advice and support to clients across various sectors.

Job Summary:

We are seeking an experienced Global Head of Compliance to lead our compliance function, ensuring we meet regulatory requirements and maintain a strong risk management culture.

Key Responsibilities:

  • Management of global regulatory relationships, including developing and maintaining relationships with key stakeholders.
  • Advisory coverage of all business desks globally in conjunction with the local Compliance Officers, ensuring effective risk management and regulatory compliance.
  • Oversight of global regulatory developments, driving their implementation and ensuring alignment with company policies.
  • Oversight of Financial Crime risk globally, identifying and mitigating potential risks.
  • Oversight of the global Compliance Monitoring Programme, ensuring ongoing monitoring and review of compliance activities.
  • Oversight of Compliance training globally, designing and delivering effective training programmes for staff.
  • Ensuring Regulatory and Exchange queries, audits, and investigations are completed in an appropriate manner, minimizing reputational risk.
  • Approval of new business initiatives, ensuring they align with regulatory requirements and company policies.
  • Assessing regulatory developments and leading implementation as required, staying up-to-date with changing regulations.
  • Oversight and submission (where applicable) of global regulatory returns, ensuring timely and accurate reporting.
  • Ownership of the overarching Compliance Risk Framework, facilitating effective management of compliance risk and reporting to senior management.
  • Oversight and execution of the compliance training programme to staff, ensuring ongoing education and awareness.
  • Assistance in management of HR matters, supporting the development of staff skills and knowledge.

Requirements:

  • Demonstrated broking/prime broking experience, with a proven track record of managing complex regulatory relationships.
  • Detailed and current knowledge of FCA rules & regulation legislation, with working knowledge of NFA / CFTC / MAS / DIFC / AMF rules advantageous.
  • Prior experience of holding the CSMF 16/ SMF 17 (CF10/CF11) controlled functions, demonstrating a deep understanding of regulatory requirements.
  • Managed a global team previously, with experience of developing and implementing effective team strategies.

Estimated Salary: £120,000 - £180,000 per annum, depending on experience.

  • Risk Governance

    1 month ago

    London, Greater London, United Kingdom Risk & Compliance Platform Full time

    About the CompanyRisk & Compliance Platform is a leading provider of risk and compliance solutions to businesses across various industries. We pride ourselves on delivering high-quality services that meet the needs of our clients.About the RoleWe are currently seeking a highly skilled Risk Governance & Compliance Specialist to join our team. The successful...

  • Compliance Risk Manager

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are looking for a highly skilled Compliance Risk Manager to join our team at Compliance Professionals. This role involves developing and managing a comprehensive risk management program to mitigate potential risks and ensure compliance with regulatory requirements.About the Role:This is a permanent opportunity to work in a dynamic and...

  • Compliance Risk Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary: Compliance Risk Manager A Compliance Risk Manager is required to provide strategic guidance and support to the Bank’s staff on compliance risk management matters, ensuring a robust compliance framework and adherence to regulatory requirements. The ideal candidate will have a deep understanding of industry-wide financial crime practices and...

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Compliance Risk ManagerEstimated Salary: £60,000 - £80,000 per annum.About the Role:We are seeking a seasoned Compliance Risk Manager to join our team at Compliance Professionals. As a key member of our compliance department, you will be responsible for managing compliance risks associated with our business operations.The ideal candidate will...

  • Compliance Risk Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Compliance Risk ManagerThe estimated salary for this position is £80,000 - £110,000 per annum.Company Overview:We are a leading provider of compliance solutions to financial institutions. Our team is responsible for ensuring that our clients adhere to the latest regulatory requirements.Job Description:As a Compliance Risk Manager, you will be...

  • Compliance Risk Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled Compliance Risk Manager to join our team at Compliance Professionals. As a Trade Surveillance Manager, you will play a critical role in ensuring the integrity of our financial systems and identifying potential risks.The successful candidate will have 5+ years of experience in trade surveillance/market abuse...

  • Compliance Risk Manager

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role: As a Compliance Risk Manager at our client, a top-tier international bank in London, you will play a critical role in ensuring the bank's risk exposure is well-managed. You will be responsible for assessing and mitigating cyber threats, developing strategies to manage those risks in line with the bank's agreed risk appetite, and maintaining a...

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job SummaryAs a seasoned Compliance Risk Manager at Compliance Professionals, you will oversee the management of global regulatory relationships and drive their implementation. This role involves advisory coverage of all business desks globally, ensuring that compliance requirements are met and risk is mitigated.The ideal candidate will have demonstrated...

  • Compliance Risk Manager

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewThe firm, Compliance Professionals, operates globally with offices across the world. It provides Wealth Management services to UHNI and Family offices.About the RoleWe are seeking a skilled Compliance Risk Manager to join our team in London. The successful candidate will have experience within a Wealth Management/ Private Bank firm within a...

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Looking for a challenging role where you can apply your expertise in risk and compliance? AJ FOX COMPLIANCE is seeking a senior professional to join their team as a Compliance Risk Manager.About the RoleWe are an innovative law firm that values our employees' skills and experience. As a Compliance Risk Manager, you will work closely with our Head of Risk and...

  • Compliance Risk Manager

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    The Company Overview">">Our client is a specialist broker based in the City, providing leading solutions globally.">They are seeking an experienced Compliance professional to lead their global compliance efforts.">">Job Description">">Lead the management of global regulatory relationships and provide advisory coverage for all business desks...

  • Compliance Risk Manager

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company Overview:Our client is a renowned alternative asset management firm based in London.We are seeking an experienced Compliance Risk Manager to join our team. As a Compliance VP, you will be responsible for maintaining policies, procedures, systems and controls governing IPO and divestment activities.

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom Audit & Risk Recruitment Full time

    A leading Audit firm is looking for an experienced Compliance Risk Manager to join their Risk team in London. As a key member of the team, you will play a critical role in ensuring the firm's compliance with regulatory requirements.The successful candidate will have 2-4 years of experience in risk, compliance, control, or audit functions and 1+ year of...

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking an ambitious Compliance Risk Manager to join our team at AJ FOX COMPLIANCE in London. This is a fantastic opportunity for a talented professional looking to take their career to the next level.As a key member of our compliance team, you will be responsible for overseeing the performance of our compliance-based team and managing complex issues...

  • Compliance and Risk Manager

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Key ResponsibilitiesThe Compliance and Risk Manager will be responsible for managing a portfolio of work to complete all required due diligence checks in a timely and efficient manner. This includes conducting CDD checks on clients and counterparties transactions in compliance with HMRC AML guidance for the Estate Agency Businesses.The ideal candidate will...

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Compliance Risk ManagerWe are seeking an experienced Compliance Risk Manager to lead our risk and compliance team in London.This is a great opportunity for a compliance professional with expertise in financial crime prevention, client onboarding, and team leadership.Manage CDD checks across various clientsLead conflict-checking processes and...

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job TitleA Compliance Risk Manager is sought by AJ FOX COMPLIANCE to join their busy legal team in London.Conduct client due diligence for various clients, reviewing materials and advising on necessary information.Perform risk assessments at client onboarding and updates to determine heightened money laundering risks.Utilize external databases and research...

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job Title: Compliance Risk ManagerWe are seeking an experienced Compliance Risk Manager to lead our risk and compliance team in London.This is a great opportunity for a compliance professional with expertise in financial crime prevention, client onboarding, and team leadership.Manage CDD checks across various clientsLead conflict-checking processes and...

  • Compliance Risk Manager

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a Compliance Risk Manager to join our team at AJ FOX COMPLIANCE. As a key member of our risk management function, you will be responsible for collaborating with senior leadership and various departments to ensure the firm complies with all relevant legal, regulatory, and professional standards.The successful candidate will have a proven track...

  • Compliance Risk Manager

    6 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Compliance Risk ManagerLocation: Not specified, remote work possible.Salary: £60,000 - £80,000 per annum based on experience.About the Role:The ideal candidate will have a strong background in financial regulation and compliance. They will be responsible for identifying regulatory issues and recommending remedies to promote better compliance...