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Staq.io
united kingdom
About Us: At Staq, we're at the forefront of the fintech revolution, leveraging our innovative Banking-as-a-Service (BaaS) and embedded finance platform to reshape the landscape of financial services. As we grow and expand our reach, we're committed to maintaining the highest standards of risk management and regulatory compliance. We believe in not
Job Source: Staq.ioLHH Recruitment Solutions
London
Compliance ManagerAre you a meticulous and detail-oriented professional? Do you have a passion for ensuring that a company operates within legal and ethical boundaries? If so, we have an exciting opportunity for you.Our client, a leading organisation in the financial services industry, is seeking a Compliance Manager to join their dynamic team. Thi
Job Source: LHH Recruitment SolutionsHays Specialist Recruitment Limited
London
Your new company Your new company is a custom software business that specialises in developing business efficiency, productivity and providing its clients with a competitive advantage by resolving their issues in a specific and streamlined manner.They provide services around software development such as CRM systems and module apps, including tradin
Job Source: Hays Specialist Recruitment LimitedClayton Davies
united kingdom
Our client, a successful Investment Management firm, are looking for an experienced Compliance Officer to join the team to lead, oversee and manage the day to day compliance and operational aspects of their investment management business unit and platform offering, ensuring issues and risks of a compliance and regulatory nature are appropriately ma
Job Source: Clayton DaviesLockton
London Area, United Kingdom
Purpose Help develop Lockton’s response to emerging regulatory risk and developments in the regulatory landscape. Contribute to Compliance’s assurance activities that ensure the business has the procedures, skills and tools it needs to deliver services and meet its strategic objectives. To help develop and maintain adequate policies and procedure
Job Source: LocktonCoopman Search and Selection
greater london, england, United Kingdom
Coopman Search and Selection are delighted to partner with a global multi-strategy hedge fund who are looking to hire a Compliance Officer to be part of their London Team. The role will report direct into the General Counsel & Chief Compliance Officer. The firm have offices across UK, Dubai & US. Key Responsibilities: Ensure FCA & SEC regulatory c
Job Source: Coopman Search and SelectionTaylor Root
London Area, United Kingdom
The Role We are currently working with an ambitious law firm who are looking for a Compliance Officer to join their team in London. Some of your responsibilities will include: Analysing conflict search results utilising Intapp Open software, identifying potential regulatory and/or commercial conflicts and facilitating the resolution of these. Ma
Job Source: Taylor RootVeritas Partners Ltd
Hatfield
A dynamic multi-National food company requires a Compliance Officer to ensure all legal and regulatory procedures are met. This is a maternity cover between 12 - 15 months. The Role Compliance Officer will manage all current and future regulations in terms of food Carry out risk and control assessments Review business contracts working with Legal E
Job Source: Veritas Partners LtdLondon Area, United Kingdom
Maldon Partners are recruiting a Chief Compliance Officer (SM16/SM17) on a permanent basis for a market leading Fintech based in London.
The firm has been around for c15years however has recently launched a new platform in which their clients can trade across multiple asset classes all from one place.
The role holder will hold the SM16/17 functions and will also be the Director of Global Compliance with c5 direct reports.
This is a great opportunity for someone who is keen to further establish themselves in a growing industry.
The ideal candidate will have several years of senior compliance experience gained within the retail brokerage space.
Hybrid working 3 days in the office
The Role:
The main purpose of the role is to help lead, manage and oversee all compliance aspects of the firm and to ensure its ongoing compliance with applicable rules, regulations and standards of best practice.
Responsibilities will include:
CCO (SM16) and MLRO (SM17)
Act as a member of the Financial Crimes Committee and Risk Management Committee representing Compliance before those Committees.
Responsibility to regularly present the scope and implementation of regulatory change to the Board, including the impact the regulations have on the Firm and what steps the business needs to take
Review developments in AML/CTF
Design and Undertake the CMP
Overseeing compliance with FCA rules and regulations
All appropriate training
Creating and maintaining policies and procedures
managing relationships with the regulators
Team management
Experienced Required:
Ideally Previously FCA approved as SM16 and SM17
Extensive knowledge and experience at a senior operational level in a similar financial services/securities institution.
A strong background in the compliance aspects of electronic and web based business where there is limited direct client contact.
Excellent verbal and written communication skills.
Excellent interpersonal skills and experience working with boards of directors
Demonstrated understanding of FCA rules and regulations
Excellent Communication skills
Salary:
The Chief Compliance Officer role has a base salary of c£150,000 - £175,000 depending on experience plus excellent benefits and bonus package
Hybrid working is also on offer.
*Please note only candidates who meet the above criteria will be contacted
Chief Compliance Officer jobs in London Area, United Kingdom
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