323 Compliance Director jobs in the United Kingdom
Compliance Director
Posted 5 days ago
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Compliance Director | Wealth Management
Our client operates in the financial services industry, focusing on wealth, asset, and fund management. They are committed to maintaining a culture of innovation, regulatory compliance, and client-centric services.
Our client is seeking a Compliance Director to support the CRO and Executive Committee in fostering a constructive dialogue with regulatory authorities. This role plays a strategic function in overseeing regulatory compliance frameworks, guiding business lines on regulatory matters, and collaborating with stakeholders to ensure adherence to standards and regulations.
Responsibilities:
- Cultivate a strong relationship with regulatory authorities, particularly the FCA
- Ensure the company operates in compliance with regulations and industry standards
- Lead and manage the Compliance team effectively
- Provide detailed Compliance reports to governance committees
- Design and execute the annual Compliance Plan
- Stay updated on emerging regulations and ensure timely implementation
- Collaborate with the wider Risk function for cohesive risk management
- Contribute to first-line projects and squads to maintain compliance
Essential Skills & Experience:
- In-depth understanding and practical knowledge of FCA rules impacting wealth and asset management - platform experience would be highly desirable
- Proficiency in legislation such as FSMA and MiFID II
- Experience in asset management, especially in the retail market
- Strong attention to detail with a broad business understanding
- Professional qualifications in Compliance are advantageous
- Proven experience as a Head of Compliance or similar role, including team management
Please note that you will be required to work in their offices 3 days per week. This role is paying six figures and is there is a highly competitive bonus.
If you possess the necessary skills and experience for this pivotal role, we invite you to submit your CV for consideration. Or alternatively, for more information, please contact Raj on r.basra @ (url removed) / (phone number removed)
Compliance Director
Posted 1 day ago
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Job Description
Compliance Director | Wealth Management
Our client operates in the financial services industry, focusing on wealth, asset, and fund management. They are committed to maintaining a culture of innovation, regulatory compliance, and client-centric services.
Our client is seeking a Compliance Director to support the CRO and Executive Committee in fostering a constructive dialogue with regulatory authorities. This role plays a strategic function in overseeing regulatory compliance frameworks, guiding business lines on regulatory matters, and collaborating with stakeholders to ensure adherence to standards and regulations.
Responsibilities:
- Cultivate a strong relationship with regulatory authorities, particularly the FCA
- Ensure the company operates in compliance with regulations and industry standards
- Lead and manage the Compliance team effectively
- Provide detailed Compliance reports to governance committees
- Design and execute the annual Compliance Plan
- Stay updated on emerging regulations and ensure timely implementation
- Collaborate with the wider Risk function for cohesive risk management
- Contribute to first-line projects and squads to maintain compliance
Essential Skills & Experience:
- In-depth understanding and practical knowledge of FCA rules impacting wealth and asset management - platform experience would be highly desirable
- Proficiency in legislation such as FSMA and MiFID II
- Experience in asset management, especially in the retail market
- Strong attention to detail with a broad business understanding
- Professional qualifications in Compliance are advantageous
- Proven experience as a Head of Compliance or similar role, including team management
Please note that you will be required to work in their offices 3 days per week. This role is paying six figures and is there is a highly competitive bonus.
If you possess the necessary skills and experience for this pivotal role, we invite you to submit your CV for consideration. Or alternatively, for more information, please contact Raj on r.basra @ (url removed) / (phone number removed)
Compliance Director
Posted today
Job Viewed
Job Description
Compliance Director
Posted today
Job Viewed
Job Description
Compliance Director | Wealth Management
Our client operates in the financial services industry, focusing on wealth, asset, and fund management. They are committed to maintaining a culture of innovation, regulatory compliance, and client-centric services.
Our client is seeking a Compliance Director to support the CRO and Executive Committee in fostering a constructive dialogue with regulatory authorities. This role plays a strategic function in overseeing regulatory compliance frameworks, guiding business lines on regulatory matters, and collaborating with stakeholders to ensure adherence to standards and regulations.
Responsibilities:
- Cultivate a strong relationship with regulatory authorities, particularly the FCA
- Ensure the company operates in compliance with regulations and industry standards
- Lead and manage the Compliance team effectively
- Provide detailed Compliance reports to governance committees
- Design and execute the annual Compliance Plan
- Stay updated on emerging regulations and ensure timely implementation
- Collaborate with the wider Risk function for cohesive risk management
- Contribute to first-line projects and squads to maintain compliance
Essential Skills & Experience:
- In-depth understanding and practical knowledge of FCA rules impacting wealth and asset management - platform experience would be highly desirable
- Proficiency in legislation such as FSMA and MiFID II
- Experience in asset management, especially in the retail market
- Strong attention to detail with a broad business understanding
- Professional qualifications in Compliance are advantageous
- Proven experience as a Head of Compliance or similar role, including team management
Please note that you will be required to work in their offices 3 days per week. This role is paying six figures and is there is a highly competitive bonus.
If you possess the necessary skills and experience for this pivotal role, we invite you to submit your CV for consideration. Or alternatively, for more information, please contact Raj on r.basra @ finitas.co.uk /
Compliance Director
Posted 6 days ago
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Job Description
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Director, Legal Compliance
Posted 4 days ago
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Job Description
_Mastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we're helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships and networks combine to deliver a unique set of products and services that help people, businesses and governments realize their greatest potential._
**Title and Summary**
Director, Legal Compliance
This role is open to candidates looking to conduct the role from either our London , Peterborough or Lisbon offices .
The Mastercard Prepaid Management Services (MPMS) Compliance Team is responsible for ensuring the MPMS business adheres to all regulatory requirements, including Anti-Money Laundering (AML) policies and legislation.
The Director, Legal Compliance, reports to the VP Compliance, Risk & Fraud and provides direction and support for the implementation and oversight of the business compliance program, including AML, Sanctions, Treating Customers Fairly and Foreign Account Tax Compliance Act (FATCA) globally.
Key Accountabilities
-Deputize for the VP Global Compliance, as required.
-Manage a team of Analysts within EMEAA region.
-Produce, implement and maintain compliance risk assessments, policies and procedures for the following, to ensure they align with relevant legislation, industry guidance and (where applicable) issuer requirements:
o Anti-Money Laundering (AML)
o Customer Due Diligence (CDD) / oversight and review of customer on-boarding processes
o Treating Customers Fairly (TCF)
o Identity theft
o Vulnerable customers
o Politically Exposed Persons (PEP) and Sanctions screening
o Distributor / agent oversight
o Program risk assessments
o Risk control matrix (Harvey Ball risk assessments).
-Understand issuer compliance and AML requirements and develop appropriate program frameworks, to include the identification of system development requirements, operational process changes and resource requirements.
-Manage ongoing compliance relationships with issuers, to include new product initiatives, AML monitoring, Subject Access Request (SAR) reporting, TCF policy review, monthly service calls and other such requests.
-Manage, maintain and develop AML monitoring programs, in line with relevant regulations, industry guidance and issuer requirements, to include the submission of compulsory transaction reports (where required) and suspicious activity reports.
-Ensure continuous oversight of AML transaction monitoring and PEP & Sanctions screening systems, including configuration and ongoing testing.
-Manage and overview Sanction screening programs for cardholders, in line with relevant regulations, industry guidance and issuer requirements.
-Overview Sanction screening for distributors and corporates in all regions, in line with relevant regulations, industry guidance and issuer requirements.
-Review and assess new business projects and the design of compliance controls, to ensure adherence to company policy and procedures, and deliver appropriate solutions, so that robust and appropriate compliance controls are implemented to satisfy regulatory and issuer needs.
-Sign-off new market / product launches (as applicable).
-Represent MPMS Compliance, in respect of technical change and delivery at PI Planning events.
-Review and sign off collaterals and marketing material (including financial promotions), in line with industry guidance and issuer requirements.
-Manage and overview appropriate training to relevant staff, in line with regulatory and issuer requirements covering:
o AML and Counter-Terrorism Financing (CTF)
o Anti-Bribery & Corruption
o TCF
-Review and update training material, track training completion and escalate non-completion.
-Continually review departmental processes, procedures and systems, to ensure the most efficient use of resources and the elimination of unnecessary cost.
-Support internal business owners and stakeholders in process improvements related to KYC and compliance requirements.
-Act as escalation point for compliance queries from other business areas.
-Provide regular reporting and MI to VP Global Compliance and escalate issues, as appropriate.
-Manage internal and issuer audits and external independent reviews, to include the provision of documentation (as per agreed scope), responding to queries and implementing improvements.
-Assist with maintaining:
o HMRC Money Service Business (MSB) registration
-Remain up-to-date with industry and regulatory developments, maintain a close relationship with the Global Compliance Team, Regional Compliance Working Groups, MPMS Legal and issuers, and proactively scan the regulatory landscape to ensure an effective and timely response to regulatory changes.
-Assess the impact of regulatory changes and industry guidance on existing AML/CTF, Sanctions, anti-bribery and TCF policies and procedures, and design controls to ensure necessary changes are implemented within MPMS Compliance and across other business areas (as appropriate).
-Maintain necessary records, in compliance with applicable regulations and issuer requirements, thereby ensuring complete and accurate data is readily available to internal and external parties.
Core Skills
-Significant experience in a Senior Compliance role, within Financial Services.
-ACAMS/ICA Certified.
-Educated to Bachelor's Degree level (minimum)
-Subject matter expert in AML regulations, including Sanctions in all regions of operation
-Able to interpret regulations and guidance, in order to assess impact and develop practical operational procedures, to ensure ongoing compliance.
-Able to deal with sensitive and confidential information.
-Strong communication skills (verbal & written) with the ability to engage key stakeholders at all levels.
-Able to build internal and external relationships.
-Analytical and detail focused, with the ability to identify anomalies, trends and make necessary recommendations.
-Able to manage and prioritize multiple tasks to completion and on time.
-Knowledge and understanding of prepaid card / electronic money products.
**Corporate Security Responsibility**
All activities involving access to Mastercard assets, information, and networks comes with an inherent risk to the organization and, therefore, it is expected that every person working for, or on behalf of, Mastercard is responsible for information security and must:
+ Abide by Mastercard's security policies and practices;
+ Ensure the confidentiality and integrity of the information being accessed;
+ Report any suspected information security violation or breach, and
+ Complete all periodic mandatory security trainings in accordance with Mastercard's guidelines.
Interim Compliance Director – Insurance
Posted today
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Interim Compliance Director – Insurance
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Interim Compliance Director – Insurance
Posted 10 days ago
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Job Description
Interim Compliance Director – Insurance
My client is an exceptional Insurance Brokerage based in the City of London and with representatives world-wide.
An opportunity has arisen for a compliance professional with mid to senior experience (say 6 years minimum for a real star but probably 10 – 15 years), to join a growing firm in a brand new role.
Supporting the General Counsel (who is Head of Compliance) you will in effect, be in charge of Compliance, allowing the GC to concentrate on legal matters.
There is a strong chance that the successful candidate will be offered the role on a permanent basis if things go well.
The Candidate
- Absolutely must have 6 + years of generalist Compliance experience within Insurance (ideally a brokerage) or proven knowledge of the Lloyds Market
- Must be self aware enough to know that they don’t know everything, and must be keen to learn.
- Technical in depth knowledge of FCA requirements within the insurance industry.
- Must be smart, both in dress and in mind.
- Traditional qualities such as punctuality, politeness and effort.
- There will be little compliance administration support so the candidate must be ready to get their hands dirty.
This role works 3 days in the office and 2 days at home.
My client will not be providing visa sponsorship.
Start date is as soon as possible so the shorter notice you have the better
Interim Compliance Director – Insurance
Posted 10 days ago
Job Viewed
Job Description
Interim Compliance Director – Insurance
My client is an exceptional Insurance Brokerage based in the City of London and with representatives world-wide.
An opportunity has arisen for a compliance professional with mid to senior experience (say 6 years minimum for a real star but probably 10 – 15 years), to join a growing firm in a brand new role.
Supporting the General Counsel (who is Head of Compliance) you will in effect, be in charge of Compliance, allowing the GC to concentrate on legal matters.
There is a strong chance that the successful candidate will be offered the role on a permanent basis if things go well.
The Candidate
- Absolutely must have 6 + years of generalist Compliance experience within Insurance (ideally a brokerage) or proven knowledge of the Lloyds Market
- Must be self aware enough to know that they don’t know everything, and must be keen to learn.
- Technical in depth knowledge of FCA requirements within the insurance industry.
- Must be smart, both in dress and in mind.
- Traditional qualities such as punctuality, politeness and effort.
- There will be little compliance administration support so the candidate must be ready to get their hands dirty.
This role works 3 days in the office and 2 days at home.
My client will not be providing visa sponsorship.
Start date is as soon as possible so the shorter notice you have the better