Compliance Professionals

THE COMPANY: Our client is a global asset management firm, providing a focused and specialized range of investment solutions to institutional and wholesale investors. THE RESPONSIBILITIES: Manage compliance issues within the UK Branch, including compliance monitoring, risk to regulated entities, training requirements and monitoring new regulatory developments, assessing the impact of the UK Branch and informing the local management committee as well as appraising the Luxembourg team where needed of any wider reaching impacts; Ensure timely completion of the UK monitoring plan. This will include regular assessment and revision of the plan itself to keep ongoing activities focused and relevant. Co-ordination with Luxembourg on their activity to eliminate duplication while reviewing MI and overseeing their controls of the UK branch and meet both UK (FCA) and Luxembourg (CSSF) expectations and obligations; Apply detailed knowledge of the AML regime in both UK and EU to adequately target risk in the account opening process and transaction monitoring.; Review and manage various compliance responsibilities including designing and implementing internal controls while assessing policies and procedures to assure compliance with applicable laws and regulations; Act as deputy Money-Laundering Reporting Officer (MLRO) for the UK Branch. This will require a good understanding of onboarding requirements and AML parameters to meet regulatory needs. Focus on review and approval of high risk and complex new client relationships and providing feedback to the relationship managers and presenting to management in UK and Luxembourg; Work with the MLRO as the focal point for receipt and assessment of internal suspicion reports; assessing and making disclosures to and acting as liaison with the authorities where needed for all aspect of notifiable correspondence. Work on SARS and regulatory reporting. Follow up with internal and group reports. Work with Head of Compliance to develop an internal control system to ensure adherence to legal and prudential standards, in particular concerning market rules and investor protection in a UK. Ensure the embedding of Consumer duty is monitored and reviewed to amend and develop as the MI provides data on GAPs and required change Be aware of obligations in preventing the Business being used to further financial crime, in particular money laundering, terrorist financing, bribery and corruption and market abuse and to report any suspicions or suspicious activity where market abuse is suspected; Working closely with the Head of Compliance in the UK to understand the relationship with the UK regulated authorities and all the aspects need to develop the relationship. Design and deliver regulatory training sessions and assess the SMCR regime and application in the UK Branch. Compile reports for the HoC & MLRO to report to the governing bodies of the regulated entities in respect of compliance regulatory risk issues. Responsible for Horizon scanning to monitor regulatory change, outlining what will impact the business and how. Relay findings and prepare reports for the bank and governing bodies Develop strategy and / or forming appropriate committees / working groups to ensure the business remains compliant at all times. Any other duties required consistent with your role. EXPERIENCE REQUIRED: Extensive knowledge of both the UK and EU financial services regulatory regimes including. Understanding of Lux requirements would be beneficial. Thorough understanding of AML and CTF regulation and its application across the UK and how the EU applies the measures. Knowledge of regulatory regimes in Switzerland also beneficial For further information please contact Duncan Jeffery

THE COMPANY: We are working with a leading name in the property sector who are searching for a Senior CDD & EDD Officer. Operating across both residential and commercial markets, this organisation offers a dynamic and collaborative environment where compliance plays a vital role in delivering a best-in-class client experience. THE RESPONSIBILITIES: Enhanced Due Diligence & Risk Assessment: Conduct in depth EDD reviews on high risk clients, including PEPs, complex corporate structures, trusts, funds, and opaque ownership structures. Produce clear, narrative style EDD reports using multiple sources (e.g., Refinitiv, World Check, open source intelligence). Assess and articulate financial crime risks, determining appropriate levels of due diligence based on the Money Laundering Regulations (MLR 2017), JMLSG guidance, and relevant sanctions frameworks. Onboarding & Ongoing Monitoring: Own and manage the onboarding process for assigned high risk clients across a variety of entity structures. Complete enhanced ongoing monitoring and periodic reviews, ensuring documentation remains complete, accurate, and compliant with regulatory requirements. Escalate high risk cases and obtain senior management approval where required. Screening & Investigations: Conduct PEP, sanctions, and adverse media screening and undertake structured investigations into potential matches. Document findings clearly, evidencing rationale and regulatory alignment for both positive and false positive matches. Stakeholder Engagement & Advisory: Provide expert AML/EDD guidance to front office, legal, and compliance stakeholders, supporting complex decision making. Collaborate with Financial Crime Advisory, Sanctions, ABC, Legal, and external investigative clients / counterparties where enhanced insight is required. Quality Control & Process Improvement: Contribute to the development of EDD methodologies, procedures, and internal governance standards. Identify process gaps and recommend improvements to enhance efficiency, accuracy, and regulatory alignment. Support training and development of junior team members and new joiners. EXPERIENCE REQUIRED: Minimum 3-5 years' experience in EDD, CDD, or AML roles. Strong working knowledge of Money Laundering Regulations 2017 & subsequent amendments, JMLSG guidelines, Proceeds of Crime Act / Terrorism Act, Sanctions regimes (OFSI, UN, EU, US) Proven experience assessing high risk clients including PEPs, high risk jurisdictions, and complex corporate structures. Hands on experience using EDD and screening tools (e.g., World Check, Refinitiv, DNB, Open-source intelligence). For further information, please contact Marcus Courtney

THE COMPANY: Our client is a leading international bank based in the City, looking to hire a CDD Project Analyst on a 12 month FTC basis. The role requires a fluent Mandarin speaker. Please note, this role will require 4 days onsite in the London office and 1 day WFH. THE RESPONSIBILITIES: Know Your Customer (KYC) checks; Conducting sanction screenings; Conducting Politically Exposed Persons (PEP) assessments; on Conducting adverse media screening to identify if client has any material / immaterial adverse information found; Completing the relevant cases on the KYC Work flow tool and have good understanding of the KYC forms and checklists. Working alongside Relationship managers / Compliance Department, compile and complete KYC pack for both on boarding and on-going clients. Working on various entity types such as, Trust, Foundations, LLPs, LLC, Funds / Hedge Funds, Charities, SPV/SPE and complex ownership structures. Ensure detailed and accurate audit trails are maintained in all cases starting from the initial KYC to full completion. Ensure customer details and accounts are set up on all applicable systems and spreadsheets once KYC has been completed. Carrying out MIFID classifications on new, on-going and remediation clients in accordance with the product and client type. Ensure the AEOI information is accurately recorded and that appropriate rationales are applied to KYC packs and customer accounts. Timely execution of instructions received from Head/Deputy of CDD Communicating the status to relevant internal and external parties. Following up with clients in a timely, effective and professional manner. Additional duties may include businesses requirements as asked by Head of CDD from time to time. EXPERIENCE REQUIRED: Mandarin language skills essential Minimum of 4 years' experience in performing a KYC /KYB Checks within the CDD function; and should have at least 3 years of experience in each of the following: on Conducting Adverse and Sanctions screening; Conducting due diligence on entity types such as, Funds, SPVs, Trusts, Foundations, Charities and LLPs; Conducting PEP, Sanctions and Advere Media classification; Proven experience in On-boarding SPV's, Funds, Charities, Foundation, SWF, State Owned and Supranational Entities, Trade Finance and Correspondent Banking Proficient in Microsoft Word, Excel, Power Point and Adobe; Excellent communication skills and problem solving abilities For further information please contact Hannah Tabatabai

A leading compliance firm in Greater London is seeking a Deputy Head of Compliance to manage the Compliance Department and act as the MLRO. This office-based role requires a minimum of 7 years' regulatory experience, preferably in Financial Crime. Responsibilities include supervising the Onboarding team, overseeing compliance frameworks, and managing regulatory submissions. The ideal candidate will have a strong understanding of financial products and familiarity with the FCA Handbook, alongside excellent organizational skills.

THE COMPANY Our client is a Wholesale Investment firm looking to recruit a Deputy Head of Compliance. The role involves the day-to-day management of the Compliance Department (which includes the Onboarding team). You will also act as the MLRO (SMF17). THE RESPONSIBILITIES MLRO: Act as the firm's nominated MLRO, including reviewing and submitting suspicious activity reports. Manage the Onboarding team to improve the client lifecycle journey. Conduct comprehensive reviews of existing onboarding workflows to identify bottlenecks, control gaps, and areas for automation and efficiency gains. Undertake the Business-Wide Risk Assessment, identifying control gaps and proposing actions. Directly supervise the Onboarding team members, managing their workloads, providing mentorship, and conducting performance reviews. Advise on specific KYC requirements for new and existing client onboarding cases. Compliance: Support the GC in the day-to-day management of the firm's compliance and financial crime frameworks, reporting and escalating issues to the GC. Assist the team in maintaining and updating the firm's compliance policies/procedures and risk assessments. Oversee regulatory changes, regulatory remediation and regulatory enquiries. Advise, support and challenge on regulatory matters. Organising and delivering training on key regulatory matters. Submit regulatory forms. Compile reports and management information for the firm's governing bodies. EXPERIENCE REQUIRED Office based role (4-5 days per week required in the City office) Ability to supervise, mentor, and develop a small team. Understanding of financial products and services offered by a wholesale broker firm (including equities, bonds, foreign exchange, securities financing). Minimum 7 years previous regulatory experience, preferably in Financial Crime (second line function). Practical experience managing a firm's AML programme for complex clients. Strong familiarity of MLR and JMSLG requirements. Ability to supervise, mentor, and develop a small team. Understanding of financial products and services offered by a wholesale broker firm (including equities, bonds, foreign exchange, securities financing). Working knowledge of the FCA Handbook, MAR, MIFID II, SMCR. Previous experience of drafting policies/procedures and undertaking firm-wide risk assessments. Technically savvy. Organised approach to record-keeping, policy documentation and meeting regulatory obligations. For further information please contact Hannah Tabatabai