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.
EXPERIENCE REQUIRED:
Significant compliance experience within wholesale, corporate, commercial, investment or international banking.
Experience in senior Compliance, Financial Crime or Regulatory Risk Role
Strong Knowledge of:
o FCA and PRA regulatory requirements
o Anti-Money Laundering & Financial Crime regulations
o UK GDPR and Data Protection Requirements
o Senior Managers & Certification Regime (SMCR)
o MIFID II, Market Abuse Regulation ideally
o Corporate, Wholesale banking and Financial Markets activities
o Experience engaging with regulators and senior stakeholders
Current or recent SMF registration
For further information please contact Natalie Eshelby
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