1 to 6 of 6 Head of Compliance Jobs in London

Main purpose of the Role: To serve as the FCA registered Compliance Officer (SMF16). To develop and deliver a Compliance Programme, including an Annual Compliance Plan and Compliance Monitoring Programme, designed to identify and manage regulatory risk. To manage a team responsible for delivering … the Compliance Programme, providing advisory support and challenge to the business, and managing regulatory, venue and exchange matters. To manage the day-to-day operation of the CFE Compliance department, including budgets, hiring and performance management. Key Responsibilities: Risk Management Manage the delivery of an annual … Compliance Risk Assessment exercise. Produce and deliver a risk-based Annual Compliance Plan. Review and challenge the regulatory and conduct aspects of the Risk and Control Self Assessments (RCSA) performed by the first line. Ensure that any risk mitigation actions are performed on a timely basis. Have more »

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 »

Exclusive: Part Time UK Head of Compliance & MLRO IFA or Wealth Management Experience Required Exclusive: Part Time UK Head of Compliance & MLRO IFA or Wealth Management Experience Required Ref: 4022G2 We have been appointed by our Client, a Global Wealth Manager, who are looking … to hire a UK Head of Compliance & MLRO holding SMF16/17 to oversee their small UK branch business. Reporting to the CEO and Board, duties will include; Perform the SMF16 role of the business including remaining current with all relevant regulatory changes that impact the … business and ensuring the business and senior management remain abreast of their obligations. Provide support, guidance and advice to the Board, Managers and colleagues to support and facilitate a strong compliance framework and culture, ensuring open and effective communication and resolution of compliance issues. Review existing more »

Description: Job Title: H e a d o f F i n a n c i a l C r i m e Risk & Compliance B u s i n e ss C o n t r o l a n d O v er s i g h … t C B & IB Corporate Title: Managing Director Location: New York, NY Overview The CB/IB Financial Crime Risk and Compliance Business Control Oversight (FCR&C BCO) unit sits within Deutsche Bank's CB IB Operations and Controls with the FCR&C BCO Head of reporting … directly to CB/IB MB Board member. The FCR&C BCO unit has mandate to provide a CB/IB Center of Excellence for strengthening 1st Line of Defense (LOD) FCR&C risk ownership through expert frameworks, controls, assurance, training, culture, and consequence management with subject matter more »

Do you have Deputy Head of Compliance experience, and are you seeking a new hybrid job? Our client is looking for a Deputy Head of Compliance (Investment Mgt/Financial Services background with retail clients experience) in London Mayfair, and the remote role comes … with an attractive salary package £80k-£100k + package including Bonus, Share options, Pension etc… As a Deputy Head of Compliance , you will work closely with other departments to support our business objectives, manage risk, and promote a culture of compliance across the organisation. If … you were already in this Deputy Head of Compliance role, here are some of the areas you would have been working in this week: Developing, implementing and maintaining our compliance framework, policies and procedures, including CASS compliance Monitoring and reporting on our compliance more »

Do you have compliance experience, and are you seeking a new job in London Mayfair? Deerfoot IT Recruitment is looking for a Head of Compliance MLRO (SMF 16/SMF17), and the role comes with an excellent salary £90k-£120k and benefits package. As a Head of Compliance MLRO, you will develop, implement and maintain our compliance framework, policies and procedures, including CASS compliance. You will also monitor and report on compliance status, identifying and addressing any areas of non-compliance or potential risk. In your first few weeks … in this Head of Compliance role, you can expect to: Develop, implement and maintain our compliance framework, policies and procedures, including CASS compliance Provide guidance and support to other departments to ensure they understand and adhere to regulatory requirements and industry best practices Keep up more »