Head of Compliance
5 hours ago
Alexander Barnes is leading a Senior Compliance Officer search for a European Payments FinTech.
The purpose of this role is to support the development and execution of a Compliance Monitoring and Testing Programme. In scope, this role is responsible for ensuring regulatory adherence and effectively managing compliance risks as the company continues its growth trajectory.
The Compliance Conduct Lead will play a key role in the oversight of policies, frameworks, and risk management processes, ensuring compliance is effectively managed by the first line of defence.
This includes evaluating the effectiveness of key risk management activities, such as:
- Governance
- Business-Wide Risk Assessments
- Transaction Monitoring
- Information Security
- Complaints
- Safeguarding
Key Responsibilities:
- Develop a risk-based Monitoring and Testing Programme with the Global Head of Compliance.
- Align compliance efforts to enhance customer outcomes in client and partner interactions.
- Conduct thematic reviews, escalate findings, and work with teams to resolve issues.
- Continuously assess regulatory risks and monitor critical processes.
- Perform quality assurance on the first line’s control framework and provide improvement feedback.
- Track and ensure completion of corrective actions, including post-closure testing.
- Report on the compliance programme’s progress, updating it for emerging risks.
- Advise on compliance with consumer duty regulations, covering outsourcing, product governance, complaints, and conflicts of interest.
- Identify and escalate regulatory risks, recommending mitigation strategies.
- Propose improvements to policies and processes to ensure compliance with standards.
Essential Skills and Experience:
- Minimum of 5 years of experience in compliance within the financial services or payment institutions industry.
- Proven expertise in the supervision and oversight of third-party partners, including knowledge of Customer Due Diligence (KYC/KYB/Onboarding) and Transaction Monitoring.
- Experience in a compliance function or controls environment, ideally within a corporate lending business.
- Strong understanding of FCA regulatory requirements, Payment Services Regulations, and operational control guidelines.
- Demonstrated ability to drive process improvements and implement new procedures.
- Exceptional analytical and report writing skills, with the capacity to deliver thorough assessments and reviews.
-
Head of Compliance
7 days ago
London,, UK, United Kingdom BWD Search & Selection Full timeHead of Compliance (SMF16/17)London (Hybrid working)£110,000 Basic + bonus & benefits. Are you an experienced Head of Compliance from the Credit Card or Payments industry or another fast growing financial services business?Would you like to change roles and join a very fast growing business that is looking to strength its Compliance structure?Your new role...
-
Compliance Manager
2 days ago
London,, UK, United Kingdom Compliance Professionals Full timeTHE COMPANY: We have been exclusively instructed by our client is a leading global commodities organisation. With a global presence they offer a wide range of services to their clients. The position will assist with managing a small team and will be 4 days in the office. THE RESPONSIBILITIES:Consideration of all relevant statutory and regulatory provisions...
-
Head of Compliance
1 month ago
London,, UK, United Kingdom Bruin Full timeExcellent opportunity at a prestigious Private Bank for a Head of Compliance SMF16!Previous Private Banking or Wealth Management experience as an authorised SMF16 required
-
Head of Quality Compliance
1 week ago
London , London , London , London, UK, United Kingdom RBW Consulting Full timeHead of Quality Compliance Partnering exclusively with a long-standing, global manufacturing business, we are now supporting a critical hire for a Head of Quality Compliance. This senior leadership position will take on a pivotal role in governance and compliance across all business units, both manufacturing and commercial. Given the evolving nature...
-
Head of Compliance
4 months ago
London, UK, UK, United Kingdom IPS Group Full timeThis exciting Insurance business has ambitious plans for growth. The Group has strong International operations and financial backing; the UK business is newer and set for significant expansion. The focus of this growth will be Specialty Lines. You will be Head of Compliance for the UK business, working across Specialty and Consumer lines, part of the UK...
-
Head of Compliance/MLRO
2 months ago
London,, UK, United Kingdom LMA Recruitment Full timeLMA is partnering with a well-known bank in Head of Compliance & MLRO position for a well-known bank paying up to £100,000. As the Head of Compliance, you will be responsible for designing and implementing policies & strategies (also experience writing Financial Crime policies from scratch & implementing them). As this regularly changes, the successful...
-
Head of Quality Compliance
2 days ago
London,, UK, United Kingdom RBW Consulting Full timeHead of Quality CompliancePartnering exclusively with a long-standing, global manufacturing business, we are now supporting a critical hire for a Head of Quality Compliance.This senior leadership position will take on a pivotal role in governance and compliance across all business units, both manufacturing and commercial. Given the evolving nature of the...
-
Head of Compliance
7 days ago
London,, UK, United Kingdom FS Talent Group Full timeHead of Compliance Investment BankingCirca £130k - £150k PLUS BonusLondonKey Responsibilities:Foster open and transparent communication with regulatory authorities, notably the FCA, and law enforcement agencies, to build and maintain strong relationships.Serve as the designated Compliance Oversight Officer (SMF16) and Money Laundering Reporting Officer...
-
Interim Head of Compliance
5 hours ago
London, UK, United Kingdom Investigo Full timeNew Interim Head of Compliance position. Reporting to the CRO, this role requires expertise in regulatory compliance to support the Bank’s strategic objectives and evaluate relevant regulations. Responsibilities also include serving as the Data Protection Officer, holding SMF16 accountabilities, and being a key member of the Bank's Senior Management...
-
Head of Compliance
1 week ago
London, UK, United Kingdom Middlesex Partnership Full timePrincipal Purpose of the role: Duty: The Head of Compliance/CCO (SMF16) & MLRO (SMF17) has a duty to the Bank to work with management and staff to identify and manage regulatory risk and the risk that the Branch may be used for the purposes of financial crime. Objective: The overriding objectives of the Head of Compliance/CCO (SMF16) & MLRO (SMF17)...
-
Deputy Head of Compliance
4 hours ago
London, UK, United Kingdom CLARC Recruitment Full timeWe are recruiting for growing Institutional Brokerage firm looking to hire a Deputy Head of Compliance to assist with the day to day running of a busy compliance function. This role will be based in the office 5 days a week and there is a development/succession plan in place to take over running the team in the future. Main Responsibilities Trade monitoring...
-
London, UK, UK, United Kingdom Martis Search Full timeThe RoleHead of Compliance – Hedge Fund Compliance Consultancy Martis Search are representing an established, boutique London based Compliance Consultancy company that specialises in Compliance & Legal Consultancy services, specifically for the Hedge Fund, Asset Management and Private Equity industries.This is an excellent “Head of Compliance” role for...
-
UK Head of Compliance
4 weeks ago
London,, UK, United Kingdom Alexander Barnes Full timeAlexander Barnes has partnered with a scaling European fintech providing a range of payment services globally. They enable businesses to offer banking services like accounts, cards, and payments through a seamless platform, unlocking new revenue streams and transforming customer experiences.The Role:We’re seeking a strategic and hands-on Head of Compliance...
-
Head of Governance and Assurance
7 days ago
London, UK, United Kingdom HOUSE OF COMMONS-3 Full timeUK Parliament Working at the UK Parliament offers a unique and rewarding career at the heart of the UK's democratic system. With a wide range of roles available, our impartial colleagues enable the day to day running of the House of Commons, House of Lords and Joint Departments. Together, we make Parliament happen. Staff Benefits In addition to your...
-
Head of Compliance
2 months ago
London,, UK, United Kingdom Simmons & Hanbury Full timeOur client is a multi-strategy hedge fund looking for a Head of Compliance to work in a UK-based team.Key Responsibilities:· Act as main point of contact with regulatory bodies and exchanges.· Ensuring regulatory compliance with FCA and NFA rules.· Oversight of regulatory compliance framework.· Providing regulatory advice and guidance across the...
-
Compliance Associate
2 months ago
London,, UK, United Kingdom Bruin Full timeCompliance Monitoring AnalystOur client – a reputable Wealth Manager – is looking for a Compliance Monitoring Analyst to join the Compliance Monitoring team in London. The role will have great autonomy and will be perfect for a self-starter competent in carrying out thematic reviews – preferably within an Wealth manager or another financial services...
-
Compliance Administrator
3 months ago
London,, UK, United Kingdom BMS Group Full timeThis is a newly developed role, created due to growth in the business and compliance team.You will take responsibility for the administration within the Compliance team, and support its subsequent pillars (UK advisory, Regulatory, Financial Crime and International Advisory) through the work undertaken.This is a generalist role, offering excellent exposure to...
-
Compliance Coordinator
2 days ago
London,, UK, United Kingdom Tate Recruitment Full timeA legal 500 commercial law firm based in the city is seeking a Compliance Coordinator, paying up to £40,000 plus benefits, to join their growing team.Initially the role will be working on a hybrid basis, 3 days in the office and 2 from home which will then change to 2 days in the office and 3 from home after probation.The position will provide comprehensive...
-
Compliance Coordinator
4 hours ago
London,, UK, United Kingdom Tate Recruitment Full timeA legal 500 commercial law firm based in the city is seeking a Compliance Coordinator, paying up to £38,000 plus benefits, to join their growing team.Initially the role will be working on a hybrid basis, 3 days in the office and 2 from home which will then change to 2 days in the office and 3 from home after probation.The position will provide comprehensive...
-
Compliance Lawyer
3 months ago
London,, UK, United Kingdom Slaughter and May Full timeROLE OVERVIEW //We are recruiting for a qualified lawyer with compliance experience in a City or large national law firm, to join our Legal, Risk and Compliance department as a Compliance Lawyer. This is a permanent, full-time role. The Legal, Risk and Compliance department is headed by the firm’s General Counsel, supported by the firm’s Head of...