Head of Compliance

7 days ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY: Our client is an international banking organisation based in the City. They are looking for a Head of Compliance & MLRO to join the Business on a permanent basis.

THE RESPONSIBILITIES:

  1. Accountable for ensuring all managers fulfil their responsibilities
  2. Overseeing and assisting Senior Management as required
  3. To constantly develop and maintain policies and procedures of the AML/CTF
  4. Conduct an annual risk assessment
  5. Receive and assess all internal Suspicious Activity Reports (SARs)
  6. To be 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. To develop and implement the Compliance Framework
  10. Ensure that the Bank consistently and effectively operates within all relevant regulatory and statutory requirements at all times.
  11. Advise on changes in the rules and regulations and compliance standards
  12. Regulatory returns to be completed and timeframes for submission to the FCA/PRA/other Regulators.
  13. Maintain and oversee record keeping
  14. Ensure that the Bank’s Complaints Procedures are correctly followed and reports made to the FCA as appropriate.
  15. Monitor and record the Bank’s compliance with the legal and regulatory requirements
  16. Liaise with the regulators as necessary
  17. Management of the Financial Crime and Compliance function
  18. Prepare and present the MLRO annual report
  19. Be an active member of the Executive Risk Committee.

EXPERIENCE REQUIRED:

  1. Experience in areas of compliance and holding SMF17 or substantial experience operating at a deputy and wanting to take the next step
  2. Ideally 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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