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Head of Compliance

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Head of Compliance & Financial Crime(SMF16/SMF17) An international bank specializing in prime brokerage and institutional equities is looking for a Head of Compliance and Financial Crime to join their team. The role holder will be expected to take on both the SMF16 and SMF17 titles. There is a resource supporting the Head of Compliance and MLRO in their role who focuses mostly on financial crime compliance activities. They are looking for someone that has hands on experience with the products they offer, with the gravitas to drive a robust compliance framework in their UK business.

Responsibilities:

  • Owning and developing the regulatory framework
  • Ensuring all compliance and AML policies are up to date in line with regulatory developments
  • Supporting all necessarily compliance and AML training
  • Oversight of the wider teams’ responsibilities
  • Managing the relationship with regulators including the FCA
  • Submitting reports to the FCA and producing required management information
  • Maintaining the compliance monitoring plan
  • Central compliance duties including PA Dealing, SMCR
  • Ad hoc compliance and AML projects

Please get in touch with Emily Hamburg if you are interested on emily.hamburg@robertwalters.com

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Financial Services

Salary: £150,000 - £160,000 per annum

Workplace Type: Hybrid

Experience Level: Director

Location: City of London

Job Reference: EPPBAB-4A425F50

Date posted: 19 June 2024

Consultant: Emily Hamburg

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