THE COMPANY: We excited to be working with an International Wholesale Bank located in the City of London, who are looking for a Head of Compliance & Legal and MLRO. THE RESPONSIBILITIES: To work with Senior Management to identify, measure and manage Compliance for the Branch, to ensure that Branch behaves ethically and in full compliance with relevant Laws and Regulatory requirements. To act as the contact point to the Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA), as well as escalation to the management committee and/or parent. To hold responsibility as Money Laundering Reporting Officer (MLRO), implementing policies and procedures to mitigate AML risks. To hold responsibility for developing and maintaining a programme designed to mitigate Financial Crime. To organise and provide training to the Branch staff covering relevant regulatory matters. To represent Compliance to the business and providing appropriate advice about regulations and Compliance related matters across all Branch business units To help to provide impact analysis and assist in providing practical solutions in respect of requirements arising from the implementation of Financial Conduct Authority (FCA) Regulations, PRA other regulatory developments, in respect of new and existing businesses. To ensure the Branch Compliance policies and procedures are reviewed and updated on a timely basis, incorporating regulatory changes. Oversee provision of legal support to the Branch. Handle Customer complaints EXPERIENCE REQUIRED: 10+ years of progressive Compliance and AML experience in wholesale banking in the UK. SM16/SM17 experience from a wholesale banking background Strong working knowledge of the UK Regulatory Framework, AML and conduct rules. Relevant knowledge of Corporate Banking and Treasury products. Ability to work effectively in a cross-cultural environment. For further information please contact Hannah Tabatabai
Jun 17, 2025
Full time
THE COMPANY: We excited to be working with an International Wholesale Bank located in the City of London, who are looking for a Head of Compliance & Legal and MLRO. THE RESPONSIBILITIES: To work with Senior Management to identify, measure and manage Compliance for the Branch, to ensure that Branch behaves ethically and in full compliance with relevant Laws and Regulatory requirements. To act as the contact point to the Financial Conduct Authority (FCA) and the Prudential Regulatory Authority (PRA), as well as escalation to the management committee and/or parent. To hold responsibility as Money Laundering Reporting Officer (MLRO), implementing policies and procedures to mitigate AML risks. To hold responsibility for developing and maintaining a programme designed to mitigate Financial Crime. To organise and provide training to the Branch staff covering relevant regulatory matters. To represent Compliance to the business and providing appropriate advice about regulations and Compliance related matters across all Branch business units To help to provide impact analysis and assist in providing practical solutions in respect of requirements arising from the implementation of Financial Conduct Authority (FCA) Regulations, PRA other regulatory developments, in respect of new and existing businesses. To ensure the Branch Compliance policies and procedures are reviewed and updated on a timely basis, incorporating regulatory changes. Oversee provision of legal support to the Branch. Handle Customer complaints EXPERIENCE REQUIRED: 10+ years of progressive Compliance and AML experience in wholesale banking in the UK. SM16/SM17 experience from a wholesale banking background Strong working knowledge of the UK Regulatory Framework, AML and conduct rules. Relevant knowledge of Corporate Banking and Treasury products. Ability to work effectively in a cross-cultural environment. For further information please contact Hannah Tabatabai
THE COMPANY: Our client is a a global banking group with offices based in the City. They are looking to hire a Deputy Head of Compliance & Deputy MLRO (combined duties). THE RESPONSIBILITIES: Maintain and embed the Bank's regulatory and Financial Crime compliance framework. Maintain the wider Compliance policy and procedures framework, ensuring that periodic updates to policies and procedures are scheduled, tracked and executed Maintain and keep up to date the Bank's PA Dealing, Compliance Training, Conflicts, and Gifts & Entertainment registers. Provide monthly Management Information (MI) and reports to the Head of Compliance & MLRO, Senior Management and relevant governance committees Attend, and actively contribute to the monthly Compliance and Financial Crime Committee (FCC) Develop, maintain and embed appropriate monitoring and testing standards, procedures and test scripts for the Compliance Monitoring and Testing team Analyse the impact of new regulatory rules and guidelines and update the Monitoring and Testing Plan and relevant test scripts as appropriate Ensure all areas of the business are appropriately monitored; and all changes to regulations are incorporated into the monitoring plan. Act as the main point of contact for Internal Audit / 3rd Line of Defence with regards to financial crime compliance matters as and when required, Attend, and contribute to the Compliance and Financial Crime Committee (CFCC) Support the design, development and execution of Bank Wide Risk Assessment (BWRA) for financial crime and regulatory compliance Provide input to the design, development and execution of Compliance Monitoring and Testing Plan (CMP) Collaborate closely with other members of the wider compliance team, and share experience, insight and perspectives to support the development of a comprehensive, risk-based and rounded compliance framework and culture Plan and carry out assurance reviews (desk/thematic) in accordance with the CMP Develop and maintain detailed test scripts that align to internal policies and procedures as well as regulatory requirements Deliver timely and accurate compliance monitoring reports that opine on the adequacy of Compliance systems, controls and processes to manage compliance risks Identify and risk rate deficiencies and work with line management on remediation plans Develop, maintain and circulate to management a Compliance Tracker of progress made against the implementation of review recommendations and open actions Analyse the impact of relevant regulatory developments with regards to the Bank's business, suggest (and where appropriate, execute) appropriate enhancements Staff and personal development Manage, mentor and coach members of the regulatory compliance team, conduct appraisals, identify training and development needs. Stay abreast of developments in regulatory rules and good practice to ensure the Bank's correspondent banking and trade finance compliance framework remains fit for purpose and up to date with the latest regulatory developments and industry best practice Develop and deliver relevant and appropriate regulatory compliance training to employees and other stakeholders as and when required Continuously consider how to automate controls and make processes more efficient Be commercially minded, always looking for solutions that satisfy Compliance requirements and minimise adverse business impact EXPERIENCE REQUIRED: A minimum of 6 years' experience within a UK financial services environment, (ideally Banking) gained in a compliance function or directly with a regulator. Strong understanding of industry practices and compliance expectations with regards to the UK's rules and regulations. Team leadership and management experience essential Relevant experience conducting Compliance monitoring and testing for a financial services firm in the UK covering retail and institutional business Experience of applying monitoring or audit methodologies within financial organisations desired and advantage. For further information please contact Hannah Tabatabai
Jun 17, 2025
Full time
THE COMPANY: Our client is a a global banking group with offices based in the City. They are looking to hire a Deputy Head of Compliance & Deputy MLRO (combined duties). THE RESPONSIBILITIES: Maintain and embed the Bank's regulatory and Financial Crime compliance framework. Maintain the wider Compliance policy and procedures framework, ensuring that periodic updates to policies and procedures are scheduled, tracked and executed Maintain and keep up to date the Bank's PA Dealing, Compliance Training, Conflicts, and Gifts & Entertainment registers. Provide monthly Management Information (MI) and reports to the Head of Compliance & MLRO, Senior Management and relevant governance committees Attend, and actively contribute to the monthly Compliance and Financial Crime Committee (FCC) Develop, maintain and embed appropriate monitoring and testing standards, procedures and test scripts for the Compliance Monitoring and Testing team Analyse the impact of new regulatory rules and guidelines and update the Monitoring and Testing Plan and relevant test scripts as appropriate Ensure all areas of the business are appropriately monitored; and all changes to regulations are incorporated into the monitoring plan. Act as the main point of contact for Internal Audit / 3rd Line of Defence with regards to financial crime compliance matters as and when required, Attend, and contribute to the Compliance and Financial Crime Committee (CFCC) Support the design, development and execution of Bank Wide Risk Assessment (BWRA) for financial crime and regulatory compliance Provide input to the design, development and execution of Compliance Monitoring and Testing Plan (CMP) Collaborate closely with other members of the wider compliance team, and share experience, insight and perspectives to support the development of a comprehensive, risk-based and rounded compliance framework and culture Plan and carry out assurance reviews (desk/thematic) in accordance with the CMP Develop and maintain detailed test scripts that align to internal policies and procedures as well as regulatory requirements Deliver timely and accurate compliance monitoring reports that opine on the adequacy of Compliance systems, controls and processes to manage compliance risks Identify and risk rate deficiencies and work with line management on remediation plans Develop, maintain and circulate to management a Compliance Tracker of progress made against the implementation of review recommendations and open actions Analyse the impact of relevant regulatory developments with regards to the Bank's business, suggest (and where appropriate, execute) appropriate enhancements Staff and personal development Manage, mentor and coach members of the regulatory compliance team, conduct appraisals, identify training and development needs. Stay abreast of developments in regulatory rules and good practice to ensure the Bank's correspondent banking and trade finance compliance framework remains fit for purpose and up to date with the latest regulatory developments and industry best practice Develop and deliver relevant and appropriate regulatory compliance training to employees and other stakeholders as and when required Continuously consider how to automate controls and make processes more efficient Be commercially minded, always looking for solutions that satisfy Compliance requirements and minimise adverse business impact EXPERIENCE REQUIRED: A minimum of 6 years' experience within a UK financial services environment, (ideally Banking) gained in a compliance function or directly with a regulator. Strong understanding of industry practices and compliance expectations with regards to the UK's rules and regulations. Team leadership and management experience essential Relevant experience conducting Compliance monitoring and testing for a financial services firm in the UK covering retail and institutional business Experience of applying monitoring or audit methodologies within financial organisations desired and advantage. For further information please contact Hannah Tabatabai
THE COMPANY: Our client is an international full-service commercial bank. They are looking to hire a Senior Manager of Compliance for their London business. This role has a strong focus on financial crime, anti-money laundering (AML), sanctions, and anti-bribery and corruption (ABC) compliance. THE RESPONSIBILITIES: Maintain and enhance the financial crime compliance framework, including policies, procedures, and controls, ensuring compliance with UK laws and regulatory requirements. Support the CCO to ensure the Branch comply with the Money Laundering, Terrorist Financing, and Transfer of Funds (Information on the Payer) Regulations 2017. Assist the CCO to oversee the branch's compliance with FCA/PRA regulations and JMLSG guidance related to financial crime. Assist the CCO in identifying, assessing, and managing financial crime risks, including AML, sanctions, ABC, and fraud risks. Support the preparation and submission of Suspicious Activity Reports (SARs) to the National Crime Agency (NCA) and maintain related records. Conduct regular reviews of the Financial Crime Risk Assessments, escalating issues and recommending enhancements to mitigate risks. Monitor compliance with UK, International and US sanctions regimes, including screening payments and customer records for sanctions breaches. Oversee client onboarding processes, ensuring compliance with KYC, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) requirements for high-risk customers, including Politically Exposed Persons (PEPs). Conduct ongoing monitoring of customer activity and ensure accurate maintenance of client files and KYC documentation. Act as the primary point of contact in the MLRO's absence. Provide advice to staff on financial crime issues and escalation protocols, ensuring that suspicious activity is reported appropriately. Assist the MLRO in preparing financial crime-related reports for senior management, Head Office, and regulatory bodies. Design and deliver AML, sanctions, and financial crime compliance training to staff, fostering a culture of compliance and risk awareness. Provide tailored guidance to front-office and operational teams on high-risk areas, such as sanctions screening and transaction monitoring. Assist in preparing for and managing internal and external audits and regulatory inspections related to financial crime compliance. Ensure timely resolution of any findings or recommendations from audits or reviews. Support the preparation of reports for internal committees (e.g., Management Committee (ManCo), Audit and Risk Committee (ARCo and Head Office. Act as a compliance representative in committees or meetings as required, presenting financial crime updates and escalating significant issues. Assist the CCO in implementing the branch's Compliance Monitoring Programme, with a focus on financial crime-related activities. EXPERIENCE REQUIRED: Must come from a Commercial/Wholesale/Corporate Banking background. Strong knowledge of the regulatory requirements for third-country branches in the UK, including FCA and PRA rules, AML regulations, and JMLSG guidance. Significant experience in managing AML, sanctions compliance, and ABC programmes within a regulated financial institution; Practical knowledge of transaction monitoring systems and sanctions screening tools. Proven ability to fulfil MLRO responsibilities, including handling SARs, managing financial crime risks, and liaising with regulators. Ability to manage multiple priorities while maintaining attention to detail and meeting deadlines; Strong analytical and investigative skills to assess risks and identify suspicious activity. For further information please contact Hannah Tabatabai.
Feb 15, 2025
Full time
THE COMPANY: Our client is an international full-service commercial bank. They are looking to hire a Senior Manager of Compliance for their London business. This role has a strong focus on financial crime, anti-money laundering (AML), sanctions, and anti-bribery and corruption (ABC) compliance. THE RESPONSIBILITIES: Maintain and enhance the financial crime compliance framework, including policies, procedures, and controls, ensuring compliance with UK laws and regulatory requirements. Support the CCO to ensure the Branch comply with the Money Laundering, Terrorist Financing, and Transfer of Funds (Information on the Payer) Regulations 2017. Assist the CCO to oversee the branch's compliance with FCA/PRA regulations and JMLSG guidance related to financial crime. Assist the CCO in identifying, assessing, and managing financial crime risks, including AML, sanctions, ABC, and fraud risks. Support the preparation and submission of Suspicious Activity Reports (SARs) to the National Crime Agency (NCA) and maintain related records. Conduct regular reviews of the Financial Crime Risk Assessments, escalating issues and recommending enhancements to mitigate risks. Monitor compliance with UK, International and US sanctions regimes, including screening payments and customer records for sanctions breaches. Oversee client onboarding processes, ensuring compliance with KYC, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) requirements for high-risk customers, including Politically Exposed Persons (PEPs). Conduct ongoing monitoring of customer activity and ensure accurate maintenance of client files and KYC documentation. Act as the primary point of contact in the MLRO's absence. Provide advice to staff on financial crime issues and escalation protocols, ensuring that suspicious activity is reported appropriately. Assist the MLRO in preparing financial crime-related reports for senior management, Head Office, and regulatory bodies. Design and deliver AML, sanctions, and financial crime compliance training to staff, fostering a culture of compliance and risk awareness. Provide tailored guidance to front-office and operational teams on high-risk areas, such as sanctions screening and transaction monitoring. Assist in preparing for and managing internal and external audits and regulatory inspections related to financial crime compliance. Ensure timely resolution of any findings or recommendations from audits or reviews. Support the preparation of reports for internal committees (e.g., Management Committee (ManCo), Audit and Risk Committee (ARCo and Head Office. Act as a compliance representative in committees or meetings as required, presenting financial crime updates and escalating significant issues. Assist the CCO in implementing the branch's Compliance Monitoring Programme, with a focus on financial crime-related activities. EXPERIENCE REQUIRED: Must come from a Commercial/Wholesale/Corporate Banking background. Strong knowledge of the regulatory requirements for third-country branches in the UK, including FCA and PRA rules, AML regulations, and JMLSG guidance. Significant experience in managing AML, sanctions compliance, and ABC programmes within a regulated financial institution; Practical knowledge of transaction monitoring systems and sanctions screening tools. Proven ability to fulfil MLRO responsibilities, including handling SARs, managing financial crime risks, and liaising with regulators. Ability to manage multiple priorities while maintaining attention to detail and meeting deadlines; Strong analytical and investigative skills to assess risks and identify suspicious activity. For further information please contact Hannah Tabatabai.
THE COMPANY: Our client is an International banking group, seeking an Associate Manager in Compliance. This position will support the Head of Compliance and collaborate with the rest of the department to identify and clarify internal Compliance, AML and Financial Crime practices and controls. THE RESPONSIBILITIES: Review internal and external business-related documents and templates from a legal perspective providing analysis and feedback as and when required. Liaise with third party legal advisors and/or consultants as and when required. Review all third party and supplier contracts ensuring that they have been authorised appropriately (signed, dated etc.) and are compliant with delegated authority and terms and conditions. Work alongside the Compliance Manager in ensuring that the regulatory risks to company activities are identified, measured, monitored and controlled, taking into account the requirements of the annual Compliance Monitoring Programme. Assist with the development of best practices in compliance control by ensuring that a comprehensive suite of compliance documentation/policies are in place, developed/updated and maintained including the Compliance Manual and Prevention of Financial Crime Manual. Ensure the provision of accurate and timely advice and guidance on regulatory issues, business standards, policies and procedures, ensuring the consistency and dissemination of best practices. Support the 1st line of defence in embedding best practice in relation to Compliance. Annually review, update and robustly carry out the Compliance Monitoring Plan providing challenge to the business/operations where required. Ensure that the Compliance Monitoring Plan is aligned with current PRA/FCA regulations, identified products and risks. Undertake allocated tasks within the plan to completion and report the findings to the MC and RCC. Annual review and update of the relevant Compliance policies and procedures including the Compliance Manual, ensuring that it covers PRA/FCA regulations, identified products and risks. Present the Compliance Monitoring Plan to the RCC for approval. Stay abreast of key regulatory changes to ensure proactive communication with the business and develop/update appropriate policy and framework to reflect the changes. Monitor regulatory developments and promote industry best practices, identify and communicate relevant areas to stakeholders and ensure required changes are aligned to company policies, processes and ethics. If and when required, provide input in the preparation of the monthly Management Committee reports and quarterly Risk and Compliance Committee reports. Liaise with other Departments concerning Compliance developments. Provide cover for the Compliance Manager in their absence. EXPERIENCE REQUIRED: A Generalist compliance professional with 5 years of proven background in the Generalist Compliance and regulatory field, preferably in Wholesale banking and/or Trade finance. Proven experience of policy writing, development and implementation - e.g., Compliance Manual, Financial Crime etc. An understanding of Wholesale banking and/or Trade finance. A good understanding of regulatory rules/laws, industry issues and business operations. Good knowledge of financial crime and Compliance regulatory requirements. For further information please contact Hannah Tabatabai.
Feb 15, 2025
Full time
THE COMPANY: Our client is an International banking group, seeking an Associate Manager in Compliance. This position will support the Head of Compliance and collaborate with the rest of the department to identify and clarify internal Compliance, AML and Financial Crime practices and controls. THE RESPONSIBILITIES: Review internal and external business-related documents and templates from a legal perspective providing analysis and feedback as and when required. Liaise with third party legal advisors and/or consultants as and when required. Review all third party and supplier contracts ensuring that they have been authorised appropriately (signed, dated etc.) and are compliant with delegated authority and terms and conditions. Work alongside the Compliance Manager in ensuring that the regulatory risks to company activities are identified, measured, monitored and controlled, taking into account the requirements of the annual Compliance Monitoring Programme. Assist with the development of best practices in compliance control by ensuring that a comprehensive suite of compliance documentation/policies are in place, developed/updated and maintained including the Compliance Manual and Prevention of Financial Crime Manual. Ensure the provision of accurate and timely advice and guidance on regulatory issues, business standards, policies and procedures, ensuring the consistency and dissemination of best practices. Support the 1st line of defence in embedding best practice in relation to Compliance. Annually review, update and robustly carry out the Compliance Monitoring Plan providing challenge to the business/operations where required. Ensure that the Compliance Monitoring Plan is aligned with current PRA/FCA regulations, identified products and risks. Undertake allocated tasks within the plan to completion and report the findings to the MC and RCC. Annual review and update of the relevant Compliance policies and procedures including the Compliance Manual, ensuring that it covers PRA/FCA regulations, identified products and risks. Present the Compliance Monitoring Plan to the RCC for approval. Stay abreast of key regulatory changes to ensure proactive communication with the business and develop/update appropriate policy and framework to reflect the changes. Monitor regulatory developments and promote industry best practices, identify and communicate relevant areas to stakeholders and ensure required changes are aligned to company policies, processes and ethics. If and when required, provide input in the preparation of the monthly Management Committee reports and quarterly Risk and Compliance Committee reports. Liaise with other Departments concerning Compliance developments. Provide cover for the Compliance Manager in their absence. EXPERIENCE REQUIRED: A Generalist compliance professional with 5 years of proven background in the Generalist Compliance and regulatory field, preferably in Wholesale banking and/or Trade finance. Proven experience of policy writing, development and implementation - e.g., Compliance Manual, Financial Crime etc. An understanding of Wholesale banking and/or Trade finance. A good understanding of regulatory rules/laws, industry issues and business operations. Good knowledge of financial crime and Compliance regulatory requirements. For further information please contact Hannah Tabatabai.
THE COMPANY: Our client is a successful and rapidly growing financial services firm. THE RESPONSIBILITIES: Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17. Ensure compliance with all relevant laws and regulations. Liaise with regulatory bodies. Ensure all regulatory filings and reports are accurate and submitted on time. Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities. Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm's procedures and processes effectively. Draft and review key contracts, agreements, official responses to customer disputes, and other legal documents. Stay abreast of legal developments and advise the business on potential impacts. Act as the Money Laundering Reporting Officer (MLRO) for the company. Develop and implement AML policies and procedures. Conduct AML risk assessments and ensure effective AML controls are in place. Report suspicious activities to the relevant authorities and maintain records of such reports. Provide AML training and guidance to staff. Lead the end-to-end customer complaints process, ensuring timely and effective resolution. EXPERIENCE REQUIRED: Strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks. Current or recent experience as SMF16/SMF17. Extensive experience in legal, compliance, and AML roles, within the financial services space - ideally from a brokerage environment. Strong leadership and management skills. Excellent communication and interpersonal skills. First-class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments. For further information please contact Natalie Eshelby.
Feb 11, 2025
Full time
THE COMPANY: Our client is a successful and rapidly growing financial services firm. THE RESPONSIBILITIES: Lead and manage the Compliance and AML teams, driving a culture of accountability and excellence, acting as the SMF 16 and SMF 17. Ensure compliance with all relevant laws and regulations. Liaise with regulatory bodies. Ensure all regulatory filings and reports are accurate and submitted on time. Lead the drafting, review, and implementation of comprehensive policies and procedures for legal, compliance, and AML activities. Regularly review and update policies to reflect changes in regulatory requirements, incorporating changes into the firm's procedures and processes effectively. Draft and review key contracts, agreements, official responses to customer disputes, and other legal documents. Stay abreast of legal developments and advise the business on potential impacts. Act as the Money Laundering Reporting Officer (MLRO) for the company. Develop and implement AML policies and procedures. Conduct AML risk assessments and ensure effective AML controls are in place. Report suspicious activities to the relevant authorities and maintain records of such reports. Provide AML training and guidance to staff. Lead the end-to-end customer complaints process, ensuring timely and effective resolution. EXPERIENCE REQUIRED: Strong academic background demonstrating analytical ability and capacity for handling complex regulatory frameworks. Current or recent experience as SMF16/SMF17. Extensive experience in legal, compliance, and AML roles, within the financial services space - ideally from a brokerage environment. Strong leadership and management skills. Excellent communication and interpersonal skills. First-class levels of attention to detail and an excellent ability to accurately and coherently articulate points and arguments. For further information please contact Natalie Eshelby.
THE COMPANY: Our client is a growing alternative asset management firm based in London. They are looking to hire a Compliance VP, this role will suit someone with experience in Public Markets in the Sell or Buy side. THE RESPONSIBILITIES: Maintain policies, procedures, systems and controls governing IPO and divestment activities. Oversight of compliance with beneficial ownership and other trade reporting rules, preparing and submitting filings with international regulators (US, India, HK) as the business crosses disclosure thresholds. Implementation of MNPI protocols for IPO and divestment activity, on a pre and post trade basis. Perform gatekeeper role for market soundings/wall crossings initiated or received by the ECM team. Oversight of surveillance protocols to ensure CSG compliance with applicable conduct of business rules, including but not limited to e-comm surveillance, recorded lines, transaction record keeping, best execution and proxy voting. Execution of regulatory and reputational due diligence for execution counterparties. EXPERIENCE REQUIRED: At least 6 years' experience of operating in in-house Compliance roles with public markets oversight - investment bank trading floor advisory or hedge fund would be most appropriate. Deep understanding of US securities trading laws and regulations, including disclosure of ownership under Section 13 and Section 16 of the Securities Exchange Act of 1934 ("Exchange Act"), short swing profits liability rules under Section 16(b) of the Exchange Act, Rule 144 under the Securities Act of 1933, Rule 10(b)-5 of the Exchange Act, and other federal insider trading laws. Knowledge of any of: Eflow, Behavox, Enfusion and ACA Compliance technology products would be helpful. For further information please contact Spencer Evans.
Feb 09, 2025
Full time
THE COMPANY: Our client is a growing alternative asset management firm based in London. They are looking to hire a Compliance VP, this role will suit someone with experience in Public Markets in the Sell or Buy side. THE RESPONSIBILITIES: Maintain policies, procedures, systems and controls governing IPO and divestment activities. Oversight of compliance with beneficial ownership and other trade reporting rules, preparing and submitting filings with international regulators (US, India, HK) as the business crosses disclosure thresholds. Implementation of MNPI protocols for IPO and divestment activity, on a pre and post trade basis. Perform gatekeeper role for market soundings/wall crossings initiated or received by the ECM team. Oversight of surveillance protocols to ensure CSG compliance with applicable conduct of business rules, including but not limited to e-comm surveillance, recorded lines, transaction record keeping, best execution and proxy voting. Execution of regulatory and reputational due diligence for execution counterparties. EXPERIENCE REQUIRED: At least 6 years' experience of operating in in-house Compliance roles with public markets oversight - investment bank trading floor advisory or hedge fund would be most appropriate. Deep understanding of US securities trading laws and regulations, including disclosure of ownership under Section 13 and Section 16 of the Securities Exchange Act of 1934 ("Exchange Act"), short swing profits liability rules under Section 16(b) of the Exchange Act, Rule 144 under the Securities Act of 1933, Rule 10(b)-5 of the Exchange Act, and other federal insider trading laws. Knowledge of any of: Eflow, Behavox, Enfusion and ACA Compliance technology products would be helpful. For further information please contact Spencer Evans.
THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. THE RESPONSIBILITIES: Management of global regulatory relationships. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. Oversight of global regulatory developments and driving their implementation. Oversight of Financial Crime risk globally. Oversight of the global Compliance Monitoring Programme. Oversight of Compliance training globally. Oversight of Transaction and Exchange Reporting. Ensuring Regulatory and Exchange queries, audits and investigations are completed in an appropriate manner. Approval of new business initiatives. Assessing regulatory developments and leading implementation as required. Oversight and submission (where applicable) of global regulatory returns. Ownership of the overarching Compliance Risk Framework to facilitate appropriate management of compliance risk and reporting to senior management. Oversight and execution of the compliance training programme to staff. Assistance in management of HR matters. EXPERIENCE REQUIRED: Demonstrated broking/prime broking experience. Detailed and current knowledge of the FCA rules & regulation legislation essential, working knowledge of NFA / CFTC / MAS / DIFC / AMF rules advantageous. Prior experience of holding the CSMF 16/ SMF 17 (CF10/CF11) controlled functions. Managed a global team previously. For further information please contact Natalie Antat.
Feb 04, 2025
Full time
THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking/prime broking experience. THE RESPONSIBILITIES: Management of global regulatory relationships. Advisory coverage of all business desks globally in conjunction with the local Compliance Officers. Oversight of global regulatory developments and driving their implementation. Oversight of Financial Crime risk globally. Oversight of the global Compliance Monitoring Programme. Oversight of Compliance training globally. Oversight of Transaction and Exchange Reporting. Ensuring Regulatory and Exchange queries, audits and investigations are completed in an appropriate manner. Approval of new business initiatives. Assessing regulatory developments and leading implementation as required. Oversight and submission (where applicable) of global regulatory returns. Ownership of the overarching Compliance Risk Framework to facilitate appropriate management of compliance risk and reporting to senior management. Oversight and execution of the compliance training programme to staff. Assistance in management of HR matters. EXPERIENCE REQUIRED: Demonstrated broking/prime broking experience. Detailed and current knowledge of the FCA rules & regulation legislation essential, working knowledge of NFA / CFTC / MAS / DIFC / AMF rules advantageous. Prior experience of holding the CSMF 16/ SMF 17 (CF10/CF11) controlled functions. Managed a global team previously. For further information please contact Natalie Antat.
THE COMPANY: Our client is a successful banking firm with a strong global presence across wholesale and capital markets. THE RESPONSIBILITIES: The role holder will need to understand and help to advise the business and other stakeholders in relation to regulatory transaction reporting. Responsible for managing queries and escalate issues for remediation. Requires knowledge in many complex regulations such as MiFID II, EMIR TR, SFTR and other related matters. Assessing the operational impact of new regulations including MIFIR, EMIR and SFTR reporting. Liaising closely with all compliance functions across the firm and other related internal departments. Contributing to the risk assessments processes for trade and transaction reporting. Supports compliance and senior management across related initiatives. Assists in the development and implement new relevant Compliance policies. Assists in the delivery of compliance training. Input to projects and initiatives which involve all group entities and geographies. Participates in industry working groups and contribute/provide feedback to external industry consultations on new regulatory developments/initiatives, strategic projects and initiatives. EXPERIENCE REQUIRED: Ideally knowledge of Transaction reporting requirements under MiFIR, EMIR & SFTR. Experience gained in a compliance function of a bank or brokerage. Ideally knowledge of Investment products and bookings systems. Experience of advising businesses on how to comply with laws, rules and regulations, and investigating potential or actual breaches of the same. Experience of financial services and markets. For further information please contact Natalie Eshelby.
Jan 31, 2025
Full time
THE COMPANY: Our client is a successful banking firm with a strong global presence across wholesale and capital markets. THE RESPONSIBILITIES: The role holder will need to understand and help to advise the business and other stakeholders in relation to regulatory transaction reporting. Responsible for managing queries and escalate issues for remediation. Requires knowledge in many complex regulations such as MiFID II, EMIR TR, SFTR and other related matters. Assessing the operational impact of new regulations including MIFIR, EMIR and SFTR reporting. Liaising closely with all compliance functions across the firm and other related internal departments. Contributing to the risk assessments processes for trade and transaction reporting. Supports compliance and senior management across related initiatives. Assists in the development and implement new relevant Compliance policies. Assists in the delivery of compliance training. Input to projects and initiatives which involve all group entities and geographies. Participates in industry working groups and contribute/provide feedback to external industry consultations on new regulatory developments/initiatives, strategic projects and initiatives. EXPERIENCE REQUIRED: Ideally knowledge of Transaction reporting requirements under MiFIR, EMIR & SFTR. Experience gained in a compliance function of a bank or brokerage. Ideally knowledge of Investment products and bookings systems. Experience of advising businesses on how to comply with laws, rules and regulations, and investigating potential or actual breaches of the same. Experience of financial services and markets. For further information please contact Natalie Eshelby.
Our client is a large successful international bank, devoting a long history of success across the global market, that have offices based in the City. THE RESPONSIBILITIES: Provide people and technical leadership across Core Compliance, Compliance Advisory, and Compliance Monitoring. Act as a manager to all the team leaders of the compliance teams (including performing line manager's duties jointly with the Head of Department, performance contracts and bi-annual appraisals of direct reports; Ensure the tasks are allocated and undertaken accurately and in a timely manner by relevant staff, including the team leaders of Core Compliance, Compliance Advisory, and Compliance Monitoring. Provide strong leadership in the planning, scheduling and the output of risk-based compliance monitoring reviews appropriate to the risk-assessment of the business proposition and current regulatory and industry thinking. Ensure business knowledge, processes and controls are accurately and proportionately assessed against regulatory and internal compliance standards. Ensure the team applies strong analytical reasoning skills to risk-rate outcomes and determine the level of impact of issues identified, and risk-assess the business undertaken and operational practices for consideration of inclusion in the compliance monitoring programme. Develop and maintain a risk-based approach to planning and scoping activities to be undertaken to ensure there is adequate oversight of the compliance risks across both regulated entities. Assist Wholesale, Corporate and Retail Banking with management of regulatory risks including, determine the compliance risk management mechanism of the department, identify, assess and regularly report to the Head of Legal and Compliance any compliance risks, with recommendations on measures that can be taken to mitigate these risks. Assist Wholesale, Corporate and Retail Banking with the design and implementation of first line of defence systems and controls to enable self monitoring by the department to ensure that their business processes and systems operate in accordance with the Bank's policy and applicable regulatory requirements. Design Compliance Annual Work Plans. Take responsibility for the design and implementation of compliance policies and procedures as required in order to meet the requirements of new/updated regulations/legislation and embed these within the Bank; Act as the Bank's subject matter expert in relation to compliance matters; Respond to requests for advice from business units, support departments and branch offices and provide the appropriate level of support to resolve the matter being referred; Represent the Legal and Compliance Department during the meetings, such as project and product launches, provide support and guidance in relation to possible solutions; Take the lead in Compliance related projects; Participate in planning, preparation, and delivery of compliance related training; Ensure reporting in respect of outputs and regulatory change is completed accurately and on a timely basis. This includes regular reporting to the Head of Legal and Compliance Department, Deputy Head of Legal and Compliance Department, Chief Compliance Officer and Compliance Committee, as well as providing ad hoc management information. EXPERIENCE REQUIRED: Degree level education (preferably law, banking or finance); Banking and/or compliance related qualification; Significant compliance experience in the financial services industry. Advising on legal and regulatory requirements; Assessing regulatory change and building compliance frameworks; Implementing regulatory requirements; For further information please contact Hannah Tabatabai
Nov 27, 2022
Full time
Our client is a large successful international bank, devoting a long history of success across the global market, that have offices based in the City. THE RESPONSIBILITIES: Provide people and technical leadership across Core Compliance, Compliance Advisory, and Compliance Monitoring. Act as a manager to all the team leaders of the compliance teams (including performing line manager's duties jointly with the Head of Department, performance contracts and bi-annual appraisals of direct reports; Ensure the tasks are allocated and undertaken accurately and in a timely manner by relevant staff, including the team leaders of Core Compliance, Compliance Advisory, and Compliance Monitoring. Provide strong leadership in the planning, scheduling and the output of risk-based compliance monitoring reviews appropriate to the risk-assessment of the business proposition and current regulatory and industry thinking. Ensure business knowledge, processes and controls are accurately and proportionately assessed against regulatory and internal compliance standards. Ensure the team applies strong analytical reasoning skills to risk-rate outcomes and determine the level of impact of issues identified, and risk-assess the business undertaken and operational practices for consideration of inclusion in the compliance monitoring programme. Develop and maintain a risk-based approach to planning and scoping activities to be undertaken to ensure there is adequate oversight of the compliance risks across both regulated entities. Assist Wholesale, Corporate and Retail Banking with management of regulatory risks including, determine the compliance risk management mechanism of the department, identify, assess and regularly report to the Head of Legal and Compliance any compliance risks, with recommendations on measures that can be taken to mitigate these risks. Assist Wholesale, Corporate and Retail Banking with the design and implementation of first line of defence systems and controls to enable self monitoring by the department to ensure that their business processes and systems operate in accordance with the Bank's policy and applicable regulatory requirements. Design Compliance Annual Work Plans. Take responsibility for the design and implementation of compliance policies and procedures as required in order to meet the requirements of new/updated regulations/legislation and embed these within the Bank; Act as the Bank's subject matter expert in relation to compliance matters; Respond to requests for advice from business units, support departments and branch offices and provide the appropriate level of support to resolve the matter being referred; Represent the Legal and Compliance Department during the meetings, such as project and product launches, provide support and guidance in relation to possible solutions; Take the lead in Compliance related projects; Participate in planning, preparation, and delivery of compliance related training; Ensure reporting in respect of outputs and regulatory change is completed accurately and on a timely basis. This includes regular reporting to the Head of Legal and Compliance Department, Deputy Head of Legal and Compliance Department, Chief Compliance Officer and Compliance Committee, as well as providing ad hoc management information. EXPERIENCE REQUIRED: Degree level education (preferably law, banking or finance); Banking and/or compliance related qualification; Significant compliance experience in the financial services industry. Advising on legal and regulatory requirements; Assessing regulatory change and building compliance frameworks; Implementing regulatory requirements; For further information please contact Hannah Tabatabai
THE RESPONSIBILITIES: Assist in the drafting and updating of firm's P&P and deliver compliance training to the business to include the whole suit of conduct of business matters including financial promotion. Support in facilitating the identification, assessment and mitigation of Compliance risks, and maintain the firm's risk register as required. Development of a monitoring programme and associated reporting framework Assist in implementing compliance process (attestations and clearances) operating a compliance platform which support the compliance programme. Keep abreast of UK compliance requirements relevant to business operations so as to reflect regulatory implications on P&P and frameworks. Develop the investment teams' knowledge of compliance requirements by preparing tailored training. Assist in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings. Assist with the preparation of FCA regulatory returns . EXPERIENCE REQUIRED: Proven capability in evaluating and developing the compliance framework for new operating structures in a private equity firm, alternative investment fund management firm, in asset management or investment banking; Sound knowledge of MiFID and business conduct issues and requirements, the FCA handbook (SYSC, APER, COBS, CASS, MAR, INVPRU/BIPRU) and financial promotion rules and ability to articulate their implications in the context of Henley activities; Experience in developing policies and procedures as well as preparing and delivering training
Dec 02, 2021
Full time
THE RESPONSIBILITIES: Assist in the drafting and updating of firm's P&P and deliver compliance training to the business to include the whole suit of conduct of business matters including financial promotion. Support in facilitating the identification, assessment and mitigation of Compliance risks, and maintain the firm's risk register as required. Development of a monitoring programme and associated reporting framework Assist in implementing compliance process (attestations and clearances) operating a compliance platform which support the compliance programme. Keep abreast of UK compliance requirements relevant to business operations so as to reflect regulatory implications on P&P and frameworks. Develop the investment teams' knowledge of compliance requirements by preparing tailored training. Assist in the preparation of MI reports on compliance and regulatory issues for senior management ahead of board and senior management meetings. Assist with the preparation of FCA regulatory returns . EXPERIENCE REQUIRED: Proven capability in evaluating and developing the compliance framework for new operating structures in a private equity firm, alternative investment fund management firm, in asset management or investment banking; Sound knowledge of MiFID and business conduct issues and requirements, the FCA handbook (SYSC, APER, COBS, CASS, MAR, INVPRU/BIPRU) and financial promotion rules and ability to articulate their implications in the context of Henley activities; Experience in developing policies and procedures as well as preparing and delivering training
We're looking for a candidate to fill this position in an exciting company. Work a part of team or individually analysing documentation, automated alerts, transactional data and conducting open source research / screening. Identifying instances of fraud and sanction matters Providing advice and guidance to EMEA front office departments to mitigate financial crime risk Provide support to, and conduct own investigations, including research in relation to internal investigations Detailing and summarising complex financial evidence into reports and statements Produce and provide analysis of the various reports from other Compliance areas. Identify developing themes, assist in building control frameworks which proactively prevent or detect financial crime. Keep fully apprised of proposed changes to legislation, Collate MI and draft reports in preparation for internal committees. Draft Suspicious Activity Reports (SARs) for submission to the Nominated Officer To provide support to wider compliance and legal teams Produce and deliver specialist training with regards to Financial Crime across EMEA. Understanding and practical knowledge financial crime risks within the UK Banking environment. Knowledge of Proceeds of Crime Act 2002, Bribery Act 2010, Fraud Act 2006. Police and Criminal Evidence Act, Disclosure rules and employment tribunals. Knowledge of the wider financial crime landscape - UK and global.
Nov 30, 2021
Full time
We're looking for a candidate to fill this position in an exciting company. Work a part of team or individually analysing documentation, automated alerts, transactional data and conducting open source research / screening. Identifying instances of fraud and sanction matters Providing advice and guidance to EMEA front office departments to mitigate financial crime risk Provide support to, and conduct own investigations, including research in relation to internal investigations Detailing and summarising complex financial evidence into reports and statements Produce and provide analysis of the various reports from other Compliance areas. Identify developing themes, assist in building control frameworks which proactively prevent or detect financial crime. Keep fully apprised of proposed changes to legislation, Collate MI and draft reports in preparation for internal committees. Draft Suspicious Activity Reports (SARs) for submission to the Nominated Officer To provide support to wider compliance and legal teams Produce and deliver specialist training with regards to Financial Crime across EMEA. Understanding and practical knowledge financial crime risks within the UK Banking environment. Knowledge of Proceeds of Crime Act 2002, Bribery Act 2010, Fraud Act 2006. Police and Criminal Evidence Act, Disclosure rules and employment tribunals. Knowledge of the wider financial crime landscape - UK and global.
