Head of compliance jobs in MitchamCreate job alerts

The role will report to the Head of International Compliance and will collaborate with compliance professionals in other regions as well as with other cross-functional stakeholders to advise company leadership on compliance risk management. Our client is seeking a Head of Compliance, Europe to le...

Periodic compliance monitoring to include: best execution, dealing errors, cross trades, and maintenance of breach registers  Periodic staff compliance monitoring to include: personal account dealing, quarterly personal holdings declarations, gifts & entertainment, political contributions, an

Assist in day-to-day compliance responsibilities, including compliance monitoring, distribution compliance, financial crime and investment compliance. Ensure implementation and regular review of compliance policies and procedures across the UK and coordinate with international compliance teams. H...

They are looking for a Head of Risk & Compliance, candidates must have previously held either SMF 4/16 or 17. Review and update formats for credit appraisals and conduct periodical review of sector / industry / country exposure of the asset. Review the PQI (Portfolio Quality Index) of the asset

The Head of Compliance will work to continue the build-out the compliance framework of the company, assessing the company’s compliance risks, making recommendations to manage those risks, and ensuring implementation of required compliance activities to mitigate compliance risk and support our str...

We are currently working with Ealing Council to search for an experienced professional to join their team as the Head of Building Safety and Compliance (Housing). Develop and implement robust compliance policies and procedures, provide thorough training and ongoing support to staff, and foster a ...

InterQuest are currently representing an established InsurTech organisation in London in identifying a Head of Compliance to joing the business on a 12m fixed term contract. The role would suit an individual with a blend of insurance/Banking and fintech/starup experience. Knowledge of how to inte...

Head of Compliance & MLRO (SMF16 / SMF17)Financial Services instituition in City of London (Hybrid / WFH 2-3 days)Are you an experienced compliance professional looking for a senior leadership role? We are working with an established financial institution in the City of London is seeking a Head o...

As Head of Compliance, you will be responsible for implementing all necessary actions to ensure achievement of the objectives of an effective compliance function and hold SMF16 for the firm. Oversight of the design, execution and delivery of a risk-based compliance monitoring review plan. You wil...

Review and update formats for credit appraisals and conduct periodical review of sector / industry / country exposure of the asset portfolio, in conjunction with Credit teams. The primary responsibilities of the position are to:. Risk Management Framework and Monitoring of Risk Limits:.

As the Head of Ethics & Compliance, you will work closely with the General Counsel to deliver and maintain their compliance and ethics strategy. Job Title: Head of Ethics & Compliance. This role involves setting strategy, supporting day-to-day compliance queries, and leveraging a network of compl...

Managing compliance for acquisitions (pre and post acquisition consideration, including compliance aspects of share purchases which involve CiC, or asset purchases which involve SUP15 notifications). I am mandated on an exciting Head of Compliance role working with an IFA consolidator. Compliance...

Reporting to AlTi’s International Chief Risk and Compliance Officer (CRCO), the role will lead on regulatory and financial crime compliance activities in relation to AlTi Wealth Management UK, as well as supporting, where needed, our Compliance Officers across the International footprint. As a ke...

Maintain constant engagement with entity heads of compliance and other stakeholders. Ensure a tailored approach to compliance priorities by proactively coordinating and harmonizing the compliance agenda across Europe Trading entities and regularly reporting progress to all relevant stakeholders. ...

I am mandated on an exciting Head of Compliance role working with an IFA consolidator. Managing compliance for acquisitions (pre and post acquisition consideration, including compliance aspects of share purchases which involve CiC, or asset purchases which involve SUP15 notifications). Compliance...

As the Head of Ethics & Compliance, you will work closely with the General Counsel to deliver and maintain their compliance and ethics strategy. This role involves setting strategy, supporting day-to-day compliance queries, and leveraging a network of compliance champions across the business. Jo

This is a great opportunity for a generalist compliance professional who is looking for a highly visible role offering great exposure and opportunity to contribute to strategic risk management. Our client, a boutique asset manager, is seeking an experienced Compliance Officer to join the team. Th...

The role will report to the Head of International Compliance and will collaborate with compliance professionals in other regions as well as with other cross-functional stakeholders to advise company leadership on compliance risk management. Our client is seeking a Head of Compliance, Europe to le...

Deputise for the Head of Compliance when necessary and contribute to broader compliance and regulatory change initiatives. Job Title: MLRO & Head of Financial Crime Compliance. Head of Compliance and engaging regularly with executive leadership and regulatory authorities.

Head of Risk and Compliance (SMF4/SMF16) – International Bank – London. Foster a robust compliance culture and deliver regular updates to the. UK risk and regulatory compliance framework.

The role reports into the Chief Compliance Officer who is hugely inspirational, and they are looking for someone to work in partnership with them – helping to build out best in class compliance teams both in the UK and internationally. Our client, a global leader in their field, is looking for a ...

Assist in day-to-day compliance responsibilities, including compliance monitoring, distribution compliance, financial crime and investment compliance. Head of UK Compliance – Managing Director Level – London-Based. Ensure implementation and regular review of compliance policies and proce

Ideally the business are looking to further develop their offering, and so you should have had experience of guiding a business through an authorisation process with the FCA, preferably with a digital assets focus. This is an opportunity to join an ambitious firm with the backing of much larger b...

About the Role:We are currently working with Ealing Council to search for an experienced professional to join their team as the Head of Building Safety and Compliance (Housing). Develop and implement robust compliance policies and procedures, provide thorough training and ongoing support to staff...

Head of FCA Compliance Risk - Retail Bank / Payments firm. As Head of Regulatory and Compliance Risk, you will:. Instil a forward-thinking, business-empowered approach to risk, ensuring compliance is seen as a driver of success, not a blocker.

The Head of Quality, Risk & Compliance is responsible for maintaining the second line of defence relationship with senior management and the executive committee providing impartial risk assessment and incident escalation. Head of Quality, Risk & Compliance. Chair the risk and compliance and

Currently recruiting on behalf of an International Bank focused on Retail Lending, who are looking for a Deputy Head of Compliance to support their CCO. You will be responsible for day-to-day oversight of a team of 3, and will take the lead on all regulatory compliance issues within the bank. You...

InterQuest are currently representing an established InsurTech organisation in London in identifying a Head of Compliance to joing the business on a 12m fixed term contract. The role would suit an individual with a blend of insurance/Banking and fintech/starup experience. Knowledge of how to inte...

Accountability and responsibility from all functionaries of Risk, Compliance and Legal department and to ensure that appropriate mechanism is put in place for these to be duly accounted for in performance reviews of concerned employee; and. Periodic reporting of KRIs and KPIs to Group Compliance;...

Sanderson are partnered with a leading insurance firm for an interim Head of Compliance role. Lead and develop the compliance team, aligning with organizational goals and values. Enhance compliance culture, policies, and procedures across UK and Europe operations.

If you're an experienced compliance professional ready to take on a challenging role as Head of Compliance, we want to hear from you. As Head of Compliance, you'll lead compliance oversight, provide advisory support, and manage regulatory requirements for the firms activities across UK & Ireland....

The role will build and be the hands-on leader of Compliance for Nest Invest but with responsibility for shaping and delivering Compliance Target Operating Model inline with the evolving investment strategy and scale of the organisation. That scale of growth means that it is essential that Nest I...

As Head of Compliance, you will lead our Skills & Employability provision, ensuring that all supporting documentation and claims are compliant. Proficiency in compliance software and tools, with the ability to generate reports and manage data. Develop and oversee the implementation of risk manage...

A deep understanding of financial markets, trading strategies and products, with an excellent understanding of algorithmic trading compliance and surveillance. Foster collaboration and communication between compliance and other business units to ensure seamless integration of compliance practices...

InterQuest are currently representing an established InsurTech organisation in London in identifying a Head of Compliance to joing the business on a 12m fixed term contract. The role would suit an individual with a blend of insurance/Banking and fintech/starup experience. Knowledge of how to inte...

They are looking for a Head of Risk & Compliance, candidates must have previously held either SMF 4/16 or 17. Review and update formats for credit appraisals and conduct periodical review of sector / industry / country exposure of the asset portfolio, in conjunction with Credit teams. Periodic re...

As Head of Regulatory and Compliance Risk, you will:. Head of FCA Compliance Risk - Retail Bank / Payments firm. Instil a forward-thinking, business-empowered approach to risk, ensuring compliance is seen as a driver of success, not a blocker.

Head of Risk and Compliance (SMF4/SMF16) – International Bank – London. UK risk and regulatory compliance framework. Lead the bank’s risk management and compliance framework across all UK operations.

The Head of Compliance will work to continue the build-out the compliance framework of the company, assessing the company’s compliance risks, making recommendations to manage those risks, and ensuring implementation of required compliance activities to mitigate compliance risk and support our str...

They are looking for a Head of Risk & Compliance, candidates must have previously held either SMF 4/16 or 17. Work with other departments to ensure compliance with risk standards and development of risk culture within the Bank including providing training and support to other departments where re...

Knowledge of Asset Management compliance requirements in multiple jurisdictions including UK, EU, US and high-level understanding of how to manage compliance in emerging markets. Equifind have teamed up with a new fintech client, who are in the market for a part-time head of compliance to join th...

Assist in day-to-day compliance responsibilities, including compliance monitoring, distribution compliance, financial crime and investment compliance. Head of UK Compliance – Managing Director Level – London-Based. Ensure implementation and regular review of compliance policies and procedures ac

What You'll Do: As the Head of Compliance, you will lead and mentor a team of compliance professionals while shaping the strategic direction of the compliance function across our UK and European offices. Lockton is seeking an experienced Head of Compliance to lead our compliance team and ensure t...

They are looking for a Head of Risk & Compliance, candidates must have previously held either SMF 4/16 or 17. Oversee the execution of the Bank’s Risk Control Self-Assessment, and continued enhancements of the Operational Risk Framework. Periodic reporting of KRIs and KPIs to Group Compliance.

The Deputy Head of Central Compliance role supports the Head of Central Compliance with both the day-to-day operation as well as the continuous enhancement of the Central Compliance function. Central Compliance are responsible for the development and implementation of compliance policies, trainin...

As the Head of Ethics & Compliance, you will work closely with the General Counsel to deliver and maintain their compliance and ethics strategy. This role involves setting strategy, supporting day-to-day compliance queries, and leveraging a network of compliance champions across the business. Job...

They are looking for an SMF16 - Head of Compliance within the Risk & Compliance team, reporting directly to the Chief Risk Officer. Monitor compliance with, and embed a culture of Compliance, in line with the FCA rules and expectations. Responsibility for compliance with the requirement of the re...