Head of Compliance, MLRO and DPO

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.

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:

• 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