13 Head of Compliance Jobs in London

Shape the Future of Digital Finance as Head of Compliance! 🌐 Are you a compliance leader ready to navigate the exciting landscape of digital assets within an FCA regulated business? Your next career move awaits you! Black Swan Group is thrilled to represent a pioneering … client in the digital assets space, seeking a visionary Head of Compliance to join their dynamic team. Position: Head of Compliance – Digital Assets Platform Why Join Us? 🌐 Cutting-Edge Digital Assets: Be at the forefront of the digital revolution! Join a trailblazing platform … that's reshaping the way the world engages with digital assets, backed by the regulatory strength of the Financial Conduct Authority (FCA). 💡 Innovative Fintech Culture: Immerse yourself in a culture of innovation and technological advancement. Contribute to the development of groundbreaking solutions in a company that more »

Head of Compliance/MLRO - Corporate Finance - £100,000-£120,000 A newly created role based in the London, working for a corporate finance business who are looking for someone to help drive their compliance function forward, and to take on the SMF16 & SMF17 functions for … the UK entity. Head of Compliance & MLRO (SMF16 and SMF17) The Role Our expanding Corporate Finance client is currently seeking an experienced Head of Compliance & MLRO to take responsibility for leading the compliance and conduct function and act as MLRO. This senior-level … role holder will be responsible for the design, delivery, and execution of compliance, conduct, and financial crime frameworks. Responsibilities Assume the regulatory responsibility of SMF 16 and SMF 17 Assume and retain ownership for the design, development and execution of the Compliance Programme and supporting more »

The Role Deputy Head of Compliance, Head of Anti-Financial Crime & MLRO – SMF17 (Urgent 6-month FTC role, possible to go perm: 5-days per week in the office) Martis Search are representing a boutique, City of London based Investment Bank to urgently hire … an “SMF17 – Deputy Head of Compliance.” Our client is looking for someone who has held the SMF17 Control function before and is happy to be the SMF17 again (holding SMF17 function for a minimum of 5-years). In addition, you need to be immediately available with … no holidays coming up in the next couple of months. The role is based on the Trading-floor and reports directly into their “Chief Compliance Officer” and is a small and busy team. The role will be responsible for managing x 2 others. Candidate Profile Summary: The ideal more »

Head of Compliance & Enterprise Risk (ERM), International FMCG/Retail Giant, Excellent Package & Benefits - Central London Background: An exciting opportunity for a Head of Compliance & Enterprise Risk to join a high-growth retail business with 4000+ stores across UK and Europe, also with offices … in Southeast Asia. They are looking for an exceptional Head of Compliance based in London to join a growing global dynamic team to support with various priority workstreams and lead across all Enterprise Risk Management (ERM) processes. This role is varied and with that exciting, allowing you … the opportunity to become involved in a variety of projects. You will have input in the scoping and delivery of end-to-end Compliance initiatives and tasks, to drive compliance and improve standards across this rapid growth multinational group. Key Responsibilities: Responsible for all compliance more »

Robert Half is recruiting for a Head of Compliance (SMF16) for a brokerage firm. ROLE: Head of Compliance (SMF16) LENGTH: Permanent Role LOCATION: London Based PAY: £150,000 - £170,000 Responsibilities SME for all applicable local Regulatory frameworks, including, CASS, SYSC and SMCR Responsibility … for annual review and update of all Compliance and AML policies and procedures including annual Market Abuse Risk Assessment Oversight of Compliance and AML staff training, including “in person” Market Abuse training Compliance responsibility as part of a wider team for input and calibration … of documents Maintaining Conflict of Interest Register and handling complaint procedures Oversight and Chairmanship of relevant internal local Committees where appropriate, such as Market Standards Committee Oversight of London trade and communication surveillance and calibration of monitoring systems Oversight of London transaction reporting Main more »

Position: Head of Compliance - Trade Finance House Company Overview: Trade finance house dedicated to providing innovative financial solutions currently seek a dynamic and experienced Head of Compliance to join their team. Role Overview: As the Head of Compliance, you will play … pivotal role in ensuring that our operations adhere to all relevant regulations and standards. You will be responsible for developing, implementing, and overseeing our compliance program, as well as providing guidance to internal stakeholders on compliance matters. This role offers a unique opportunity to lead and shape the … compliance function within a dynamic and fast-paced environment. Key Responsibilities: Develop and maintain policies and procedures to ensure compliance with applicable laws and regulations, including but not limited to anti-money laundering (AML), know your customer (KYC), and sanctions regulations. Conduct regular compliance risk assessments and more »

Coopman Search and Selection are delighted to partner with a market leading Alternative Fund who are looking to hire Head of Compliance, reporting into the COO. This business has an entrepreneurial mindset within a high energy environment, with expertise across the business, which allows them to give … individuals a great platform to grow. As the Head of Compliance, you will be responsible for the regulatory and financial crime compliance, whilst also being responsible for the ongoing development & enhancement of the compliance & risk framework for the business. You will have the ability … stakeholder's at all levels including board level whilst also assuming the SMF16/17 roles. Key Responsibilities Responsible for the day-day running of the compliance programme Ensuring the business has effective systems, procedures & controls Maintenance of compliance policy & procedures Ensuring all reporting and notification more »

LONDON HEAD OF COMPLIANCE & MLRO 6 MONTH FTC The Client We are assisting a great client of ours who are searching for a Head of Compliance & MLRO to join the team, holding the SMF16 & 17 Function for the firm. The client is a … boutique investment bank who have a strong reputation in the emerging markets space, offering their clients a range of banking services. THIS ROLE IS A 6 MONTH FIXED TERM CONTRACT. Responsibilities Designated Head of Regulatory Compliance & Money Laundering Reporting Officer, SMF 16 & SMF 17 registered holder … point of contact for the FCA, NCA and other applicable authorities. Ensure that the Firm complies with its regulatory requirements as a regulated business. Conduct periodic internal reviews and investigations. Maintain and enhance the existing compliance management system, including but not limited to all relevant management structures and more »

Head of Risk and Compliance About us Our rapidly growing fintech customer are transforming the private capital markets. With deep regulatory knowledge and cutting-edge technology, they have enabled frictionless asset creation and transferability across the digitisation of all assets. Their technology is already being used … by some of the largest institutions in the world, such as the Johannesburg Stock Exchange and Nomura/Instinet. The role As a regulated business, compliance is not only mandated by regulatory bodies, it is also key to business success. The business are currently regulated by the FCA … UK, however they are seeking additional regulatory authorisation in other markets including the EU and North America. Due to an exciting and sustained period of growth and future expansion, we’re looking for a talented Head of Risk and Compliance to join the team and build more »

MERJE are working with a boutique Investment manager in their search for a Head of Compliance. The Head of Compliance will be responsible for compliance with all applicable FCA & SEC regulations. You will be tasked with: Provision of technical advice, support & regulatory guidance … Development & completion of the annual compliance monitoring programme Ensuring that the company identifies any changes in law and regulation by horizon scanning Review and implementation of compliance policies & procedures Projects including preparing for new regulation, new funds, new investments or researching specific legal or regulatory queries … from the Board or wider team Compilation and submission of regulatory reporting through Regdata, Connect, FINRA etc Ownership of the AML program Experience needed: 8-10 years of relevant and broad compliance experience gained in a fund or investment management environment Strong interpersonal and relationship building more »

Location: London (Hybrid Working Arrangements) Excellent Salary and Benefits on offer (dependent upon experience) Are you a seasoned Compliance professional with a robust background in Asset Management? Do you excel in roles where you can drive meaningful change and ensure regulatory excellence? We are looking for a proactive and … influential Head of Compliance to lead our dynamic team in London. This is a rare opportunity to lead compliance initiatives within a prestigious mid-sized, fast growing and well backed Asset Management firm. The Role: As Head of Compliance, you will hold a … critical position in ensuring regulatory adherence and implementing best practices within our Asset Management operations. Your responsibilities will encompass: Developing, implementing, and refining compliance policies and procedures tailored to Asset Management. Conducting comprehensive compliance risk assessments and overseeing regulatory reporting. Providing expert guidance to senior management on compliance more »

Deputy Head of Compliance London - Hybrid - Payments Circa £85k starting base salary + benefits A global payments firm is seeking a highly skilled and experienced Deputy to the MLRO to contribute to their growing success. This role offers: Report directly and work closely with the Head of Compliance. Substantial autonomy and exposure. A unique opportunity to manage a team. Play a pivotal role in both strategic and operational decisions. Fantastic benefits within an ambitious organisation. Responsibilities: Execute financial crime and compliance responsibilities. Manage a team of 5+. Provide support to the Compliance Director and MLRO in all aspects of UK compliance. Contribute to the monitoring and development of the UK compliance team. Requirements: 5 years' experience or more (desirable). Proficient in AML policies and procedures, including conducting AML checks. Comfortable with second-line-of-defence regulatory more »

Job Description Head of Risk and Compliance - Retail Bank Our Client is a new challenger bank due to open for business soon in London. They are looking to recruit a Head of Risk and Compliance with at least 5 to 10 years proven track … record of heading up a small UK bank's Risk and Compliance team. The Client will be aiming the bank at the Caribbean community in the first instance, so any experience of working or understanding the Caribbean community and culture would be very handy for this position. … Ability to work under pressure. Must be comfortable working for a small UK based bank in advising the bank and being the first line of defence to safeguard the bank and its strategy. You will be fully conversant with the rules and regulations from the FCA. This is an more »