Compliance Professionals

THE COMPANY: Our client is a leading provider of services supporting emerging fund managers and investment firms. THE RESPONSIBILITIES: Compliance and MLRO responsibilities: Monitoring; ICARA; SYSC and MLRO reports; Supervise KYC; Work with COO to develop and implement control systems Financial Promotions for Funds and Clients. Funds: TFI obligations under fund agreements; andOnboarding Committee. Client Reviews:Interim and Final. Marketing: Pipeline development. EXPERIENCE REQUIRED: Candidates must have Appointed Representative experience Fund/Asset management background This will be a key hire for someone to develop the company's systems, business and profitability. For further information please contact Duncan Jeffery

A leading compliance service provider in the UK is looking for a candidate to oversee compliance and MLRO responsibilities, develop control systems, and manage client reviews. The ideal candidate will have Appointed Representative experience and a background in fund management to enhance the company's systems and profitability. This key position promises a dynamic work environment and significant responsibilities.

THE COMPANY: Our client is global banking group with offices based in the West End. They offer Corporate banking and Asset management services in the UK market. THE RESPONSIBILITIES: Compliance advisory: assisting with advice on regulatory issues, maintaining compliance framework, training the business in key compliance issues, promoting and measuring high standards of conduct and ethics and an effective compliance culture. Compliance monitoring: assisting with ad hoc thematic reviews and control testing, along with maintaining the conflicts of interest, gift & entertainment and complaints registers. Regulatory affairs: assisting with identifying and overseeing the implementation of regulatory change impacting the business. Assist with managing the relationship with the regulator. Support the preparation and submission of regulatory registrations. Produce regulatory reports. Review compliance policies and procedures against applicable regulatory requirements. Assist with ad hoc thematic reviews and control testing. Track implementation of recommendations through to completion. Assist with monitoring regulatory change (i.e. horizon scanning) impacting the business and its activities. Participation in analysing the impact of regulatory change on the firm. Provide advice on compliance issues arising in the business, including in relation to any new business initiatives. Investigate and remediate regulatory breaches, including notification to the regulators. Assisting with the delivery of classroom or remote training to the Business on relevant regulatory topics. Providing support for reporting to Board and Executive committees. Assisting with preparing and submitting reports to parent. EXPERIENCE REQUIRED: Experience of working in the Compliance department of a Bank or asset manager Relevant compliance or investment management certificates or diplomas desirable. Educated to degree level or equivalent - preferably a business/law/sustainability related subject. For further information please contact Hannah Tabatabai

Overview THE COMPANY: Our client is international Corporate and Retail banking company based in the City. They are looking for a Head of Compliance on a permanent basis. Responsibilities To work closely with the Management Committee and Compliance team to co-ordinate various compliance issues (for example: Consumer Duty, Conduct Risk, Treating Customers Fairly, AML, Fraud, and the Senior Managers Regime) with a view to ensuring that the businesses operate in accordance with the Bank's policies and procedures, and local regulatory requirements. To oversee and manage the Compliance and Financial Crime Prevention functions. To develop and implement relevant and appropriate monitoring activity in the businesses. To closely manage and maintain positive, open relationship with the regulators. To help provide guidance and advice to businesses on procedures and processes necessary to ensure, and demonstrate, compliance with the Bank's policies. To help ensure that businesses have adequate controls, procedures, systems, training and other arrangements (preventative and detective) to enable them to deal appropriately, and on a timely basis, with applicable conduct risk, Senior Managers Regime, Data Protection and Financial Crime Prevention related requirements. To support the development of compliant, flexible and robust systems, procedures and controls within the businesses to meet conduct and AML objectives and improve the businesses' performance in these areas. To help ensure that relevant and reliable management reports are delivered to management and board committees on a timely basis in order to enable effective action to be taken where necessary. To facilitate effective and constructive sharing of knowledge and experience of compliance issues and to effectively engage with other parts of the Group. Experience Required FCA registered candidate - SM16 Wide-ranging compliance experience in a retail or investment banking financial services environment. Extensive experience in Compliance and AML operating as Head of compliance Minimum of 5 years' experience working with FCA and PRA regulators and with Board level stakeholders. Good understanding of current and anticipated UK regulatory requirements and supervisory expectations. For further information please contact Hannah Tabatabai

Overview THE COMPANY: Our client is an international corporate and retail banking group with a global reach. They are seeking a Deputy Head of Compliance to join them and assist on their retail banking/digital banking product offering. Responsibilities Have a good understanding of relevant legislation, the PRA and FCA Handbooks Identifies the regulatory risks the bank faces, mitigating controls and make appropriate changes. Ensures that the Compliance RCSAs are complete and up to date. Tracks upstream regulatory change Help plan, prepare and execute the compliance monitoring programme. To oversee and carry out conduct risk controls, monitor the business for conduct risk issues and support conduct risk projects. To provide advice and training Update policies and procedures as appropriate Consumer Duty and TCF obligations. The production of the monthly MI To act as the point of contact for Data protection matters and support the DPO Monitor compliance with the UK GDPR and other applicable data protection legislation To undertake breach investigation and reporting into data breaches Deliver Data Protection training to staff from time to time. Experience Required Relevant experience within a Deputy or compliance manager role in the banking sector. Experience in a retail bank/challenger bank/retail online banking is a must for this role Knowledge of current accounts/payments/consumer duty is also essential Strong knowledge of regulatory compliance rather than financial crime People management experience - previous experience in managing a small team Strong communication skills, with the ability to engage effectively with stakeholders at all levels. Experience with compliance monitoring, risk assessments, regulatory reporting, or governance frameworks. Full understanding of the FCA Handbook For further information please contact Natalie Eshelby