Head of Compliance

London, London ETRA Talent

Posted 2 days ago

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Job Description

Head of Compliance SMF16 & SMF17

Location: London (Hybrid)

Regulatory Status: SMF16 (Compliance Oversight) & SMF17 (Money Laundering Reporting Officer)


About the Role

We are seeking an experienced Head of Compliance to take on dual responsibility as SMF16 & SMF17 within a leading global financial services organisation specialising in exchange-traded derivatives. The role is based in London and offers the opportunity to lead the UK compliance framework while coordinating standards across international operations.

As Head of Compliance, you will provide strategic and operational leadership across compliance oversight, financial crime prevention, governance, and regulatory engagement. You will be a key member of the senior leadership team, reporting directly to the UK CEO and Board, and working closely with global counterparts.


Key Responsibilities

  • Hold FCA Senior Manager responsibilities for Compliance Oversight (SMF16) and MLRO (SMF17), ensuring full accountability under SM&CR.
  • Lead the Compliance function, including advisory, monitoring & testing, surveillance, and financial crime teams.
  • Own and deliver the Compliance Monitoring Programme, ensuring proportionate, risk‑based oversight aligned to business activities.
  • Develop, implement and maintain policies across key areas including Market Conduct, AML/CTF & Sanctions, Conflicts of Interest, Gifts & Entertainment, Personal Account Dealing, and Best Execution.
  • Ensure the effectiveness of trade surveillance and abuse detection controls, including alert design, tuning, and governance.
  • Oversee transaction reporting and reconciliations under MiFID II/MiFIR, EMIR, and other applicable regimes.
  • Maintain a robust AML and sanctions framework, including risk assessment, customer due diligence, transaction monitoring, and SAR management.
  • Act as primary contact with the FCA, managing regulatory submissions, notifications, inspections, and remediation programmes.
  • Present regular Compliance MI, risk assessments, and thematic findings to the Board and Committees.
  • Promote a culture of integrity, embedding the FCA Conduct Rules and Consumer Duty outcomes across the organisation.


Candidate Profile

Experience

  • 10+ years in UK capital markets compliance, with strong knowledge of exchange‑traded derivatives and clearing/brokerage operations.
  • Proven experience as an FCA‑approved person holding SMF16 and SMF17 responsibilities.
  • Hands‑on expertise in trade surveillance, transaction reporting, and financial crime frameworks.
  • Demonstrable experience engaging with the FCA and managing regulatory change.

Knowledge/Skills

  • Deep understanding of MiFID II/MiFIR, EMIR, UK MAR, SYSC, COCON, PRIN, CASS, and Operational Resilience requirements.
  • Strong grasp of AML/CTF and Sanctions legislation (MLRs 2017, JMLSG).
  • Excellent communication skills, with the ability to influence at Board level and lead teams effectively.
  • Analytical and data‑driven approach to monitoring, reporting, and remediation.


Why Join?

This is a high‑profile leadership role with significant responsibility and influence across the organisation. You will have the opportunity to shape the compliance culture, strengthen regulatory relationships, and play a critical role in the firm’s continued success.


Compensation: Competitive base salary plus discretionary bonus, senior manager allowance, and comprehensive benefits package.


Regulatory: Appointment subject to FCA approval for SMF16 & SMF17, and ongoing fit & proper assessments.

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Head of Compliance

Uxbridge, London ICTS (UK) Ltd

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Job Description

permanent


Role Title: Head Of Compliance

Department: Aviation Security

Reports to: Divisional Director - Aviation

Shifts/Pattern: Monday to Friday (with some flexibilty)

Hours: 40 Hours

Location: Stockley Park - with regular travel to UK and Irish operations




Job Overview

As Head of Compliance Aviation Security, you will lead regulatory assurance across ICTSs aviation operations, ensuring full alignment with UK CA.

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Head Of Compliance

London, London HR Force International

Posted 2 days ago

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Job Description

Permanent

We are seeking an experienced Head of Compliance with a proven background in RegTech and IDV to join our growing team at Programmers Force. In this role, you will lead compliance strategy, ensuring alignment with AML/KYC regulations and industry standards globally.

Key Responsibilities:

  • Define and oversee compliance framework across regions.

  • Ensure adherence to AML, KYC, KYB, and fraud prevention regulations.

  • Liaise with regulators and industry bodies.

  • Develop compliance training and monitoring programs.

  • Partner with Product and Legal to ensure compliance in product design.

Requirements

  • 10+ years in compliance leadership in FinTech/RegTech.

  • Strong expertise in AML/KYC/IDV regulations.

  • Experience working with regulators and auditors.

  • Proven ability to build compliance frameworks at scale.

Excellent leadership and communication skills.

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Head of Compliance Monitoring

London, London Taylor Root

Posted today

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Job Description

We are delighted to be assisting a leading global reinsurer who is hiring a Head of Compliance Monitoring to lead its assurance function.


This is a high-impact, strategic role with global oversight, ideal for a senior compliance professional with strong leadership, assurance, and risk management experience.


Responsibilities

  • Leading a global compliance assurance team
  • Designing and delivering the annual compliance monitoring plan
  • Driving data-driven assurance and analytics initiatives
  • Collaborating with internal teams across Legal, Risk, HR, and Audit


You are:

  • An experienced compliance, audit, or risk leader with insurance industry experience
  • Skilled in developing and executing assurance frameworks
  • Comfortable managing senior stakeholders and presenting complex findings
  • Passionate about data-led monitoring and continuous improvement


For more information please apply!

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Head of Compliance Monitoring

London, London Taylor Root

Posted today

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Job Description

We are delighted to be assisting a leading global reinsurer who is hiring a Head of Compliance Monitoring to lead its assurance function. This is a high-impact, strategic role with global oversight, ideal for a senior compliance professional with strong leadership, assurance, and risk management experience. Responsibilities Leading a global compliance assurance team Designing and delivering the annual compliance monitoring plan Driving data-driven assurance and analytics initiatives Collaborating with internal teams across Legal, Risk, HR, and Audit You are: An experienced compliance, audit, or risk leader with insurance industry experience Skilled in developing and executing assurance frameworks Comfortable managing senior stakeholders and presenting complex findings Passionate about data-led monitoring and continuous improvement For more information please apply!
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Head of Compliance Monitoring

London, London Taylor Root

Posted today

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Job Description

We are delighted to be assisting a leading global reinsurer who is hiring a Head of Compliance Monitoring to lead its assurance function. This is a high-impact, strategic role with global oversight, ideal for a senior compliance professional with strong leadership, assurance, and risk management experience. Responsibilities Leading a global compliance assurance team Designing and delivering the annual compliance monitoring plan Driving data-driven assurance and analytics initiatives Collaborating with internal teams across Legal, Risk, HR, and Audit You are: An experienced compliance, audit, or risk leader with insurance industry experience Skilled in developing and executing assurance frameworks Comfortable managing senior stakeholders and presenting complex findings Passionate about data-led monitoring and continuous improvement For more information please apply!
This advertiser has chosen not to accept applicants from your region.

Compliance Officer

Balham, London Reeson Education

Posted today

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Job Description

full time

Compliance Officer

  • Part time hours
  • Immediate start
  • Term Time Only
  • Excellent salaries
  • Roman Catholic Sixth Form College

A Compliance Officer is needed in a Roman Catholic Sixth Form College in South West London.

This Compliance Officer position will be part time (21 hours a week) and permanent.

As a Compliance Officer, you will be responsible for Health & Safety, UK GDPR Compliance, sustainability and policy oversight at the college.

If appointed as a Compliance Officer, you will manage and implement policies to maintain a safe learning environment, safeguard data privacy and ensure data protection regulations are adhered to at all times.

The team is looking for a Compliance Officer with strong administrative skills, proficiency in the use of data with keen attention to detail, excellent communication skills to effectively interact with staff and students and the ability to manage confidential information with due diligence.

Experience in a similar role within post-16 education is advantageous but is not essential when being considered for this Compliance Officer post.

The salary for this Compliance Officer role will be between 41162 and 43299, depending on the experiences and qualifications of each applicant.

The Sixth Form College

A Roman Catholic Sixth Form College for pupils aged 16 to 19 years old, located in the London Borough of Wandsworth.

The college was established in 1985.

They offer A Level, Diploma, IB and Adult Education courses.

There is an excellent pastoral care system in place at the school with each student having a Personal Tutor to assist them, along with their subject teachers.

The site also has a Chapel and Prayer room for those of a religious background.

Staff are extremely satisfied when it comes to working at the college too.

Requirements

You're encouraged to apply if you're an experienced School/College Administrator or experienced Compliance Officer.

Applications are also welcome if you're a British trained Compliance Officer or overseas trained Compliance Officer.

All Compliance Officer applicants must have the following in order to be shortlisted:

  • Right to work in the UK
  • Clear and up to date Enhanced DBS
  • UK Bachelor's Degree or overseas equivalent
  • Experience as an Administrator or Compliance Officer in UK schools/sixth forms/colleges

If you would like to be considered for this opportunity in education and training as a Compliance Officer, then please apply via the link below and send your CV to Rahul at REESON Education as soon as possible.

Reeson Education:

Reeson Education is England's Premier Recruitment Agency. Established in 2006 by experienced teachers, education professionals and recruitment specialists, we have built our business and reputation on the cores values of honesty, integrity and excellence.

We care about education and the provision of education and have established an excellent reputation with schools and teachers alike.

Reeson Education is an Equal Opportunities employer and is committed to the highest standards of safeguarding and the promotion of the welfare of children, young people and adults.

At Reeson Education we work closely with a large network of Nurseries, Primary Schools, Secondary Schools and Colleges across the UK. Our client base provides us with an abundance of available daily supply, long term and permanent opportunities across all age groups in all areas of England.

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Compliance Officer

Croydon, London PIB Group

Posted 1 day ago

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full time

Compliance Officer
 
Working within the U&D Division of PIB Group, We are now looking to recruit a seasoned Compliance Officer, reporting into the Head of 1st Line of Defence you will work within the business to deliver accurate and effective compliance advice and support helping to ensure that the retail and wholesale businesses meet their regulatory obligations and processes and procedures are adhered to.
 
You will have experience working within a financial service compliance role and are able to be hands on and able to collaborate with different stakeholders. You will be confident in producing process documentation, reports and MI in a way that engages with key stakeholders.
 
Responsibilities:

· Work with the business to drive delivery of activity that supports the business objectives, whilst ensuring adherence to group policies.
· Work with 2LoD to ensure advice and guidance is interpreted and implemented in line with group risk appetite
· Highlight the priority compliance actions for the business by collating and analysing conduct and regulatory MI and undertaking trend and root cause analysis
· Ensure the business controls are effective and take action to improve/close gaps where necessary
· Support the business with the creation of compliant documentation, undertake regular reviews of approved material and ensure regulatory changes are implemented.
· Support and where appropriate own the management of breaches, E&O’s and complaints and resolution focussing on root cause and control effectiveness
 
Why Join Us?

  • Competitive salary and benefits package
  • li>Flexible working and holiday options
  • Pension, enhanced parental leave, and life insurance
  • Discounts on technology, travel, and leisure
  • Learning and development opportunities
  • Volunteering and charity support days

 
Join a company that values innovation, growth, and its people. Apply now to take the next step in your career.
 
We are an equal opportunities employer, committed to hiring a diverse and inclusive workforce. We do not discriminate on the basis of race, colour, gender, religion, disability, age, sexual orientation or any other characteristic protected by law.
 
REF-(Apply online only)

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Compliance Officer

DA1 Crayford, London Rise Technical Recruitment

Posted 11 days ago

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full time

Salary DOE + Bonus + Flexible Working + 33 Days Holiday + Healthcare + Enhanced Pension

An excellent opportunity for an individual with a strong background in compliance and risk management, who is looking for a new challenge and the chance to join a rapidly expanding global leading business.

Do you have a strong background in compliance and risk management? Would you like to work for a rapidly expanding global leading business?

Established for over 40 years, this world leading company specialise in the design & manufacture of specialist systems for use in a wide variety of industries. They have developed an unrivalled reputation within their market and are the global leader within it. With recent investments and big plans for the future, they are now going through a period of rapid expansion. Due to this they are now looking for a Compliance Officer to join their expert team.

In this role you will be tasked overseeing all compliance related activities across the business. This will involve implementing compliance programs, conducting audits, ensuring compliance with anti-bribery and modern slavery regulations, and supporting quality teams with product compliance.

This role would therefore suit an individual with a proven background in compliance and risk management who is looking for a new challenge at a global leading business.

The Role:

  • Overseeing all compliance across the business
  • Implementing compliance programs
  • Conducting audits
  • Ensuring compliance with anti-bribery and modern slavery regulations etc.
  • Salary DOE + Bonus + Flexible Working + 33 Days Holiday + Healthcare + Enhanced Pension

The Person:

  • Proven background in compliance & risk management
  • Ideally some relevant qualifications
  • Experience with anti-bribery & modern slavery regulations
  • Lives locally to the Dartford area
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