Compliance Professionals
Head of Compliance, MLRO and DPO
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THE COMPANY:
We have been instructed by an international banking firm in their search for a Head of Compliance. The ideal candidate will have compliance experience within wholesale, corporate, commercial, investment or international banking.
THE RESPONSIBILITIES:
- Maintain the Compliance Framework and Compliance Monitoring Programme
- Provide independent compliance and regulatory advice to management and the business
- Overseeing anti-money laundering, sanctions and financial crime frameworks, risk assessments, training, reporting and regulatory obligations.
- Provide compliance oversight for wholesale banking, market conduct and regulatory requirements.
- Support the conduct risk framework, including oversight of conflicts of interest, Personal Account Dealing, Gifts & Hospitality, employee conduct and whistleblowing arrangements.
- Promote a culture of integrity, accountability and ethical behaviour
- Act as Data Protection Officer and support compliance with GDPR requirements.
- Monitor relevant regulatory developments and support the implementation of regulatory change
- Maintain constructive relationships with regulators and internal stakeholder
- Management Information
- Support implementation of Group Compliance standards, policies and initiatives
- Support and develop members of the Compliance team and contribute to maintaining an effective Compliance Function.
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EXPERIENCE REQUIRED:
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- Significant compliance experience within wholesale, corporate, commercial, investment or international banking.
- Experience in senior Compliance, Financial Crime or Regulatory Risk Role
- Strong Knowledge of:
- FCA and PRA regulatory requirements
- Anti-Money Laundering & Financial Crime regulations
- UK GDPR and Data Protection Requirements
- Senior Managers & Certification Regime (SMCR)
- MIFID II, Market Abuse Regulation ideally
- Corporate, Wholesale banking and Financial Markets activities
- Experience engaging with regulators and senior stakeholders
- Current or recent SMF registration
For further information please contact Natalie Eshelby
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