Head of Uk Compliance

4 days ago

London, United Kingdom Dah Sing Financial Group Full time

Key role in a fast growth brokerage and wealth management group, based in City of London. This role will hold the SMF16 designation and oversee a small team, including KYC and MLRO functions.

As the UK Head of Compliance, you will hold the SMF 16 designation and lead the compliance department, overseeing both regulatory compliance and Anti-Money Laundering/Know Your Customer (AML/KYC) initiatives. Your strategic vision and leadership will ensure that the firm operates in accordance with all legal and regulatory requirements and best practices, minimizing risk and upholding firm's reputation.

**Key Responsibilities**:
Regulatory Compliance Oversight: Ensure that all aspects of the firm’s operations are conducted in compliance with regulatory requirements, industry standards, and internal policies.
AML/KYC Supervision: Oversee the firm’s AML and KYC programs, ensuring identification, verification, and due diligence processes effectively mitigate risk.
Policy Development and Implementation: Develop, maintain, and revise policies and procedures for the operation of the compliance program and its related activities.
Training and Education: Implement an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees and managers.
Risk Assessment and Mitigation: Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues.
Reporting and Documentation: Prepare, manage, and file requisite compliance and regulatory reports/documents with authorities.
Regulatory Relationships: Act as the firm’s primary point of contact with regulatory bodies, managing any audits, inquiries, or investigations.
Compliance Review: Develop an annual compliance work plan that reflects the organization’s unique characteristics; conduct periodic internal reviews.
Team Leadership and Development: Lead the compliance team, ensuring high standards, and professional development.
Stay Informed: Keep abreast of regulatory changes, new compliance issues, and best practices, adjusting the compliance program accordingly.

**Qualifications**:
Education: Bachelor’s degree in law, Finance, Business Administration, or related field; master’s degree or relevant professional certification (e.g., CISI, ICA, or ACAMS) preferred.

**Experience**:
Significant experience in a compliance role within the financial services industry, specifically within a broker-dealer or prime brokerage environment; extensive knowledge of UK regulatory environment and AML/KYC requirements.
Leadership: Proven experience leading a team, with strong leadership and team development skills.
Communication Skills: Excellent written and verbal communication skills; ability to effectively communicate with regulatory agencies and all levels of management.
Analytical Skills: Strong problem-solving and decision-making capabilities, with the ability to analyze complex legal and regulatory material and produce clear and concise reports.
Ethical Standards: High ethical standards and integrity in professional and personal dealings.
Adaptability: Able to adapt to rapid changes in the regulatory environment, scaling compliance initiatives as necessary

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