Compliance Professionals

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. THE 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

THE COMPANY: The Client is a multi-jurisdictional financial institution offering Private Banking, Retail, and Digital banking services for Corporate & Retail Clients. The firm is looking to hire a Head of Compliance on a 6-month FTC basis. THE RESPONSIBILITIES: Oversee and manage the Compliance team in their daily activities, providing direction, support, and insight into regulatory compliance and financial crime matters. Monitor, advise, and oversee Data Protection/GDPR compliance across the business. Manage the regulatory policy framework, ensuring it remains appropriate to the business activities. Ensure regulatory rules and permissions are mapped and documented against business activities. Regularly assess the adequacy and effectiveness of compliance measures and procedures, addressing any deficiencies. Advise the relevant teams on compliance with MiFID and other regulatory obligations, including BCOBs and Client Data. Oversee the annual sign-off of Terms & Conditions. Monitor and manage Complaint handling and Data Subject Access Requests. Advise the business and executives on applicable regulations and procedures, including horizon scanning. Provide periodic management information to committees, highlighting risks and emerging threats. Assess regulatory risk through compliance monitoring and analysis, and seek to enhance compliance controls. Develop and deliver ongoing compliance training programs for staff. Assess and communicate emerging regulatory rules impacting the business. Oversee policies and procedures for countering regulatory and financial crime risks. Design and monitor periodic compliance reviews from a second-line perspective. Conduct quality assurance and thematic reviews as needed. Promote a culture of compliance within the wider business. Support projects requiring Compliance expertise. EXPERIENCE REQUIRED: Retail and/or digital banking experience; ideally held SMF16 or capable of fulfilling its responsibilities. Previous SMF16 holder or sufficient experience to cover an SMF16 role. Knowledge of FCA Handbook and regulatory requirements for banking firms. Strong knowledge of MiFID, EMIR, PSD2, GDPR. Understanding of banking operations, especially in small/medium-sized institutions. Ability to develop and enhance policies and frameworks. Experience with second-line monitoring techniques. Experience in establishing compliance structures and frameworks. For further information, please contact Hannah Tabatabai.

THE COMPANY: Our client is a leading alternative asset management firm, looking to hire a Compliance Manager on a 6 month FTC basis. It's essential that this person has MCO (MyComplianceOffice) experience. THE RESPONSIBILITIES: Review and update all brokerage accounts in MCO Update all brokerage feeds across MCO, identifying and remediating unmatched accounts Work with MCO to identify potential new feeds into MCO. Undertaking tasks within the KYE area of MCO to identify Conflicts of Interest across the business Development of reporting within MCO Development of a leavers process within MCO Documentation of Central Compliance processes EXPERIENCE REQUIRED: Extensive experience of MCO especially with respect to employee brokerage accounts and broker feeds Control Room experience / background preferred Experience working in an Investment / Wholesale Bank, PE & Asset Managers with €1bn + AUM or Leveraged Finance organisation. 5+ years compliance experience. Degree in Law, Finance, Accounting, Economics, Business Admin or similar preferred but relevant experience will also be considered. Knowledge/ Experience of European and FCA regulation. For further information please contact Spencer Evans

THE COMPANY: Our client is a global banking group with offices based in Canary Wharf. THE RESPONSIBILITIES: Monitoring fraud metrics and trends, proactively mitigating attacks, and ensuring new products and features are appropriately controlled and monitored from a fraud and financial crime perspective. Overseeing the effective and efficient management of transactional monitoring alerts, ensuring they are addressed within agreed SLAs. Collaborating with tech and product teams to minimise fraud opportunities at the product design stage and ensure any residual risks are appropriately controlled. Defining and supporting the implementation of the fraud and financial crime strategic roadmap, working closely with the MLRO and key stakeholders across the business. Building strong, collaborative relationships with the wider financial crime community, including industry peer groups, regulators, and external partners. Developing and delivering regular reporting and MI to influence and support key business decisions, highlighting areas of concern and driving the implementation of action plans as needed. Embedding a strong culture of financial crime compliance and awareness across the business, ensuring the response to incidents is swift, effective, and appropriate. Overseeing financial crime intelligence gathering, monitoring threats to the organisation, and addressing emerging risks. Leading the design and delivery of technology-driven fraud mitigation solutions, ensuring automated alerts cover a broad range of fraud typologies. Acting as the primary point of contact for identifying, managing, and resolving fraud and scams - including card fraud, account takeover, and authorised push payment scams - while ensuring losses remain within agreed targets. Supporting and overseeing the implementation of change initiatives, making prioritisation decisions to balance operational impact and strategic value. Driving customer education and awareness initiatives, ensuring effective warnings and protective measures are in place to reduce the risk of fraudulent activity. Working closely with the second line of defence and MLRO to complete assurance activities and remediate any identified issues or gaps. Supporting third-line audit activities and ensuring full cooperation with internal and external auditors. Reporting to senior management committees as required and deputising for senior management when appropriate. Being an outstanding people manager, empowering your split-site team to deliver high performance, fostering development, accountability, and a culture of continuous improvement. EXPERIENCE REQUIRED: 1LOD Experience - seeking candidates who can drive the F&TM strategy and devise the TM rules with third-party vendors, not just for current payments and cards but also for future innovations (e.g., use of AI). 1LOD Financial Crime management, ideally in banking and payments space - 5 years, with managerial or leadership experience. Must have leadership experience. Extensive Fraud and Transaction monitoring experience. Detailed understanding of Financial Crime typologies and current industry threats, including AML, TF, APP fraud, Sanctions evasion, and wider risks. Demonstrable understanding of global Financial Crime regulations. Experience managing regulatory engagement related to Financial Crime, especially in the UK and GCC regions. For further information, please contact Hannah Tabatabai.

THE COMPANY: We are working with an exciting client of ours who operate in the PSD & EMI Space currently. They are looking to hire a Head of Transaction Monitoring to refine and provide effective and efficient oversight of the fraud and transaction monitoring function. THE RESPONSIBILITIES: Lead and manage transaction monitoring and fraud processes, including the handling of potential fraud cases and the execution of post-transaction monitoring (rule-based, periodic, and event-driven reviews) in line with internal service level guidelines. Ensure compliance with all relevant regulatory obligations and internal policies and procedures. Report any potential or actual breaches to the Money Laundering Reporting Officers (MLROs). Maintain an up-to-date Business Continuity Plan (BCP) for transaction monitoring and support broader compliance operations as required. Manage and develop a high-performing transaction monitoring team, promoting a culture of compliance, accountability, and operational excellence. Oversee the identification, investigation, and escalation of suspicious activity. Ensure timely, accurate, and risk-appropriate responses to potential fraud or financial crime incidents in alignment with regulatory expectations and internal policies. Analyse trends and risks, providing actionable insights and recommendations to senior leadership. Drive the ongoing enhancement of transaction monitoring processes, with a focus on increasing efficiency and effectiveness through system upgrades and automation. Deliver regular training sessions on transaction monitoring and fraud prevention topics. Ensure timely implementation of corrective actions arising from compliance monitoring, audits, and incident reviews (internal or external). Represent the transaction monitoring function during internal and external audits. EXPERIENCE REQUIRED: Proven experience in leading others in a transaction monitoring department. Experience in a fintech/ EMI environment is a must. Experience with developing and refining processes within the transaction monitoring and fraud space is highly desirable. Proven stakeholder management experience. THIS ROLE DOES NOT OFFER SPONSORSHIP. THIS ROLE IS NOT A KYC/ ONBOARDING FOCUSSED ROLE. For further information, please contact Jordan White

Location: City of London Industry: Specialist Brokerage The Company: Our client is a leading specialist brokerage firm with a strong global presence, headquartered in the City of London. As they continue to grow and evolve, they are seeking a highly experienced Global Head of Compliance to lead and enhance their global compliance function. This is a key leadership role requiring in-depth knowledge of broking or prime broking operations. Key Responsibilities: Lead and manage regulatory relationships across global jurisdictions. Provide advisory support to all business desks worldwide, working in close collaboration with local Compliance Officers. Monitor global regulatory developments and spearhead their implementation across the organisation. Oversee the firm's global Financial Crime compliance framework. Manage the global Compliance Monitoring Programme and ensure its effectiveness. Develop and supervise global compliance training initiatives. Take responsibility for Transaction and Exchange Reporting globally. Ensure timely and appropriate responses to regulatory queries, audits, and investigations. Review and approve new business proposals from a compliance perspective. Lead regulatory impact assessments and implement required changes. Oversee the preparation and submission of global regulatory filings and returns. Maintain and develop the Compliance Risk Framework, ensuring effective reporting to senior leadership. Play a key role in HR-related compliance matters and investigations. Candidate Profile: Proven background in broking or prime broking within a regulated environment. Strong, up-to-date knowledge of FCA rules and regulations is essential. Familiarity with global frameworks (NFA, CFTC, MAS, DIFC, AMF) is highly desirable. Previous approval under SMF16/SMF17 (CF10/CF11) is required. Demonstrated success in managing compliance functions across multiple jurisdictions. Experience leading and mentoring global teams in a fast-paced financial services environment. For further information, please contact Marcus Courtney.

THE COMPANY: Our client is multinational Corporate and Retail banking company based in the City. They are looking for a Senior Manager, Compliance and Governance to join the team on an FTC basis. THE RESPONSIBILITIES: To possess a thorough up-to-date understanding of the relevant PRA/FCA rules in particular in respect to SMR, MiFID II and CASS and remain up-to-date with regulatory and legislative developments and ensure the implications for the Bank are assessed and where necessary disseminated and implemented. Maintain and keep up to date all documentation required to allow the Bank to meet its obligations under SMR. To assists the Head of Compliance and Head of HR to ensure that staff are appropriately trained (including new staff as part of the induction process) on the SMR requirements and Conduct Rules. To prepare and submit regular reports on SMR and, as necessary, other Compliance related matters to the Governing bodies so that they are kept fully appraised on any regulatory developments and the Bank's compliance with existing requirements. To assist the Head of Compliance to manage the processes relating to SMR and certification regime, including any changes to or appointment of the Senior Management Functions and Certified staff. To support the Heads of Compliance and HR to manage the process under the Fitness and Properness requirements, including providing assistance to the Head of HR to complete external criminal checks, as required, on the SMF and certified staff population. To assist the Head of HR to manage the embedding and reporting under the Bank's Remuneration Policy and, as necessary, other HR policies relating to SMR. To promptly deal with or escalate regulatory breaches to the Head of Compliance and ensure both corrective and preventive actions have been implemented by the business unit. To facilitate effective and constructive sharing of knowledge and experience of compliance issues and to effectively engage with all the staff members. To manage and complete registrations using the PRA / FCA online platform. EXPERIENCE REQUIRED: Banking background required Generalist/regulatory and Governance experience required Minimum 5 years in Financial Services Ability to consider issues from a range of angles and propose creative solutions that assist the business in achieving its goals in a safe, compliant and controlled manner Ability to use initiative and work with minimum supervision but ensuring, at the same time, that the line reports are kept fully informed at all times 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.

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.

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.

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

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.