See more Collapse

Head of Compliance

2 months ago

London, United Kingdom InterQuest Group Full time

Are you interested in joining a rapidly growing EMI?

This is a newly created position in a rapidly growing EMI in the Payments space. Here you will be have the opportunity to utilise your regulatory expertise to define and implement a regulatory compliance program inclusive of frameworks, strategy, regulatory advice and overall oversight from the 2nd line.

This is a fast paced, highly entrepreneurial environment so is ideally suited to someone with excellent communications skill and able to translate complex regulatory matters to a broad audience within the business.

Responsibilities and Duties

  • Providing compliance leadership and guidance as an independent 2nd line regulatory and conduct advice, oversight, and assurance subject matter expert for the firm.
  • Ensuring the companies compliance with the FCA rules and regulations, alongside any other applicable legislation
  • Ensure all regulatory reporting is accurate, complete and submitted in a timely manner.
  • Secondary contact for regulatory bodies
  • Review and maintain existing comprehensive and effective compliance policies and procedures, and create new ones where required.
  • Development of the compliance plan
  • Develop of the (non-financial crime) compliance plan and associated processes
  • Development of compliance MI
  • Identifying situations that may pose significant compliance and conduct risks and ensure that you guide the Leadership team in the development / reviewing of applicable policies, marketing materials, procedures, and business practices.
  • Providing compliance sign-off on internal and customer documentation, marketing, and financial promotions.
  • Responsible for identification, impact analysis and oversight of implementation of regulatory changes

As Compliance Director & MLRO your responsibilities will include:

  • Act as Compliance specialist across the full spectrum - Advisory, Monitoring and Regulatory
  • SMF 17 – MLRO
  • Own safeguarding challenges to the business
  • Submit and be the main point of contact with the FCA
  • Be solutions orientated – finding/implementing solutions across the business

You should apply for the Compliance Director & MLRO position if you:

  • Demonstrable E-Money Institution, Payments Institute experience Mandatory
  • Issuing/Acquiring Experience
  • Senior stakeholder engagement – be a clear communicator at executive level.

What’s next?

If you are interested in the Compliance Director & MLRO position, then send your CV to me directly at Jim.C

Send me alerts about jobs like this.

Please enter your email address to continue setting up an email alert for similar jobs to this one. By entering your email address and clicking apply you will sign up to Jobs4 and agree to our terms and conditions .

This page can't load Google Maps correctly.

#J-18808-Ljbffr

We have other current jobs related to this field that you can find below

  • Head of Compliance

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a leading provider of execution and clearing services for exchange traded derivatives and OTC derivatives in the commodities markets. **THE RESPONSIBILITIES**: - Monitor and ensure on-going compliance with all legal and regulatory requirements - Proactive researching of the regulatory environment, keeping the business...

  • Head of Compliance

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team. This is a great opportunity for someone to step up in to ‘Head of’ role. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the...

  • Deputy Head of Compliance

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an international financial services company focusing on wholesale and corporate banking activities. **THE RESPONSIBILITIES**: - To work closely with key stakeholders and ensure appropriate regulatory advice is provided in line with regulatory requirements. - Oversee and manage the regulatory advisory team within the...

  • Head of Compliance

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is an asset and wealth management specialist. They are looking for a Head of Compliance & MLRO to join the London-based team on a part-time basis. **THE RESPONSIBILITIES**: - Continued development and implementation of a comprehensive compliance program, ensuring the business remains compliant with all relevant laws,...

  • Head of Compliance

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful futures and options broker based in the City, with years of experience delivering expert and high quality services. **THE RESPONSIBILITIES**: - Ensure that the Firm complies with its regulatory requirements as a UK regulated business; - Conduct periodic internal reviews and investigations, including trade...

  • Head of Group Risk and Compliance

    4 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global industrial commodities business, specialising in the production and trading of industrial commodities. They are looking to hire a Head of Group Risk and Compliance for their London business. **THE RESPONSIBILITIES**: - Evaluating business activities to evaluate or assess compliance risk - Manging the Group’s...

  • Deputy Head of Compliance

    3 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: We are working with a regular client of ours who are searching for a Deputy Head of Compliance & Deputy MLRO. The client are a commodities broker in the City close to Liverpool Street. You will Support the Head of Compliance/MLRO to deliver second line oversight of company’s activities to ensure the business operates within its regulatory...

  • Compliance Assistant/Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is an international leading bank, based in the City. They are currently looking for a Compliance Assistant/Officer join the thriving team. THE RESPONSIBILITIES: Assisting the Head of Compliance - MLRO in: Identifying the regulatory, including financial crime, risks that the Branch faces; The design and implementation of the...

  • Deputy Head of Compliance

    3 days ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with a globally recognized FX and CFD Broker who are on the search for a Compliance Executive to join the firm. The firm are based centrally in the city close to Bank Station.THE RESPONSIBILITIES:Management and oversight of the compliance department, providing advice as necessary. Assess the effectiveness of the firm’s systems...

  • Compliance Associate

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful open-end investment fund based in the City. They are looking for a Compliance generalist with a development path to support the objectives and activities of the Compliance team. **THE RESPONSIBILITIES**: - Performing, supporting & enhancing monitoring and surveillance activities. - Managing, supporting and...

  • Compliance Officer

    3 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international leading bank, based in the City. They are currently looking for a Compliance Assistant/Officer join the thriving team. Assisting the Head of Compliance - MLRO in: Identifying the regulatory, including financial crime, risks that the Branch faces; The design and implementation of the policies and procedures, systems and...

  • Compliance Officer

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a global investment management business based in London (currently working on a hybrid basis of 3 days in the office per week). They are looking for a Compliance Officer with a Financial Crime focus to join the thriving team. **THE RESPONSIBILITIES**: - Review complex documentation and AML/KYC information for new clients at...

  • Risk & Compliance Officer

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. **THE RESPONSIBILITIES**: - Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. - Analyse and...

  • Compliance Executive

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a specialist, investment-led fund manager, with a combined AuM of over £18bn. THE RESPONSIBILITIES:Ongoing review and enhancement to the Compliance Monitoring Program, controls and monitoring and working with management and desk heads on controls.Day-to-day compliance monitoring. Conduct periodic compliance reviews within...

  • Compliance Senior Officer

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is multinational banking firm offering services such as financial derivatives, securities operations and trade and corporate finance. THE RESPONSIBILITIES:Identifying regulatory changesCarrying out compliance monitoring Follow up on action points Perform quarterly thematic reviewsReporting on a regular basis on compliance...

  • Compliance Manager

    2 weeks ago

    London, United Kingdom Compliance Professionals Full time

    THE COMPANY:We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Carry out regulatory and various other legal compliance (including AML, ABC, anti-fraud, DPA) advisory, monitoring and ad hoc...

  • Compliance Monitoring- Wealth Management/private

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a UK-leading investment firm, specialising in private client services. **THE RESPONSIBILITIES**: - Assist with the ongoing update to Compliance policies and procedures. - Maintenance of the Compliance monitoring action log. - Contribute to the development of the annual compliance monitoring plan. - Undertake compliance...

  • Compliance Associate

    2 months ago

    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a prestigious private wealth firm based in the West End. **THE RESPONSIBILITIES**: - Review and closure of daily Market Abuse and Transaction Monitoring alerts - working closely with the Front Office to ensure timely closure. - Escalation to the MLRO of any concerns. - Assist in monitoring, testing and assessing the adequacy...

  • Senior Compliance Officer

    3 months ago

    London, United Kingdom Head Office Full time

    **At a glance**: - The salary range for this role is up to £80,000 - This is a fixed term position up to 18 months - This is a hybrid role, with occasional requirement to work from the London Head Office or other locations. **About the role**: As the Senior Compliance Officer, you will be accountable for ensuring John Lewis Partnership (JLP) is compliant...

  • Senior Compliance Officer

    2 months ago

    London, United Kingdom Head Office Full time

    **At a glance**: - The salary range for this role is up to £80,000 - This is a fixed term position up to 12 months - This is a blended working role, therefore your time will primarily be split between working from home and the London Head Office. However, there will also be an expectation to visit other locations as the need arises. **About the role**: As...