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Head of Compliance
2 weeks ago
Pure Healthcare Group LTD London, United KingdomPure Healthcare Group are currently seeking a Compliance Manager/Head of Compliance to join our senior management team. · Job Ref - PHGC0021 · **Salary**: TBC · Position: Compliance Manager/Head of Compliance · Start Date: ASAP · Duration: Ongoing · Location: City of London · **W ...
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Head of Compliance
2 weeks ago
eFinancialCareers London, United Kingdom**Head of Compliance** · **£70,000 + bonus (c.15%) + annual shares** · **1-2 days per week in London (3-4 days from home)** · Absolute Recruit are supporting a London-based, Fintech start-up in their search for a Head of Compliance. The business is VC-backed at Series A stage, lo ...
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Head of Compliance
2 weeks ago
BRUIN Financial London, United KingdomPermanent · - London, Greater London · **Ref**: 35264 · **Job title - Head of Compliance** · **The role** · - Serving as the Money Laundering Reporting Officer (SMF17). · - Monitoring regulatory developments. · - Provide day-to-day compliance advice to senior management. · **Skil ...
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Head of Compliance
1 week ago
Gold Grain Capital Ltd London, United Kingdom**Position: Head of Compliance** · **Location: London (with possible travel abroad)** · **Full-Time** · Company Overview: · Gold Grain Capital is a boutique firm specialising in structured and alternative investment products, custom securitisation solutions, and wealth management ...
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Head of Compliance
1 week ago
eFinancialCareers London, United KingdomA rapidly growing FinTech is hiring a Head of Compliance in London Our client is known as an innovative payment provider for international e-commerce businesses. With over 500 employees sitting in 6 countries and 3 continents, our client is a multinationalcompany that is committe ...
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Head of Compliance
1 week ago
K-People Europe Limited London, United KingdomOur client, a reputable international bank located in the heart of City of London, is looking for a **Head of Compliance & MLRO**. · **[Key Responsibilities] · **(1)Responsibility for overseeing compliance within the bank and ensuring compliance with laws, regulatory requirements ...
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Head of Compliance
2 weeks ago
MERJE Ltd London, United KingdomThis is a newly created role to join one of the UK's leading Insurance Groups who are on an amazing growth journey. They now have an exciting opportunity to join them as a Head of Compliance for their UK&I Health & Benefits Group. This role is open to mostof their UK locations (m ...
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Head of Compliance
1 week ago
Currency Solutions London, United Kingdom**Title**: Head of Compliance (SMF16) · **Location**: London, SE1 2PD · **Salary**: Market leading rates (Negotiable based on experience) · **Reports to**: UK CEO · **About the company**: · Currency Solutions is a global payments and risk management company based in central Londo ...
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Head of Compliance
1 week ago
Barclay Simpson London, United Kingdom**Head of Compliance & MLRO**: · - London · - £150,000 · - Job type: Permanent · - Sector: Financial Services · - Job reference: 40860 · My client is an established EMI payments firm who are growing and launching new products and services in the UK. We are seeking a Compliance Of ...
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Head of Compliance
4 days ago
eFinancialCareers London, United KingdomWe are recruiting for an established Institutional Investment Management business looking to hire a Head of Compliance (SMF 16 & 17) to oversee and manage Compliance and AML risks for the business. · **Main Responsibilities** · - Development and implementation of annual complianc ...
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Head of Compliance
2 weeks ago
New Age Recruitment London, United KingdomAn innovative UK financial services start-up, which currently introduces its existing client base to other partners for services under white label and partnership agreements, is actively seeking an experienced Head of Compliance / Money Laundering Reporting Officer (MLRO). This c ...
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Head of Compliance
2 weeks ago
New Age Recruitment London, United KingdomAn innovative UK financial services start-up is actively seeking an experienced Head of Compliance / Money Laundering Reporting Officer (MLRO) to lead compliance operations across two regulated entities: an FCA Electronic Money Institution (EMI) and a Cryptocurrency business purs ...
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Head of Compliance
1 week ago
ITI Capital Limited London, United Kingdom**Company Overview**: · ITI Capital Limited is an esteemed FCA-regulated multi-asset brokerage firm situated in The City of London. Specializing in various asset classes and account types, including Equities, ETFs, Futures, Options, FX, CFDs, ETFs, Managed Funds, and Fixed Income ...
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Head of Compliance
2 weeks ago
Willow Resourcing London, United KingdomLooking for your first Head of Compliance role? · Or perhaps you're looking for the constant challenge and variety that working in a Compliance consultancy provides? · Managing a very capable team of 5, you'll be responsible for overseeing the delivery of the firm's regulatory se ...
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Head of Compliance
2 days ago
Enthuse London, United KingdomAt Enthuse, we're on a mission to transform digital fundraising by building the technology that empowers great causes. Our donations, event registration, and fundraising platform helps thousands of charities raise millions of pounds a year. · Launched in 2012, we've come along wa ...
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Head of Compliance
1 week ago
Taylor Root Global Legal Recruitment London, United KingdomHead Of Compliance · **Location** · London**Contract Type** · Permanent**Posted** · Posted 3 hours ago**Industry** · Asset Management**Salary** · £ £120000 per annum + DOE**Expiry Date** · A Global asset management firm are hiring for a Compliance Officer · - SMF16. · Reporting t ...
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Head of Compliance
3 days ago
CWG Markets London, United KingdomIn 2011, the history of CWG Markets began. We are acquainted with the experience of · trading globally. As a forward-thinking global fintech, our team characterises us as an · environment that welcomes inquisitive and motivated individuals, with a penchant for · unconventional ap ...
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Head of Compliance
3 days ago
Apron London, United KingdomApron Payments Ltd is on a mission to become an authorized Electronic Money Institution with the FCA. As part of our expansion and compliance journey, we are seeking an entrepreneurial and experienced individual to join our team as the MLRO (Money Laundering Reporting Officer) an ...
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Head of Compliance
1 week ago
St Mary's Private Wealth London, United KingdomThis is an exciting opportunity to join a leading fintech St Mary's Private Wealth Limited in the payments space to head up their UK compliance function. You will manage all compliance and financial crime matters for the UK business. A background in banking compliance is preferre ...
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Head of Compliance
2 weeks ago
eFinancialCareers London, United KingdomWe are exclusively recruiting for a Crowdfunding platform looking to recruit a remote based Head of Compliance & MLRO (SMF16/17) to oversee all Global compliance requirements for the firm. · **Salary: Market Rate plus Bonus & equity** · **Main Responsibilities**: · - Managing and ...
Head of Compliance - London, United Kingdom - Martis Search
Description
The RoleHead of Compliance – West End based BrokerageMartis Search are representing a West End based, FCA regulated, privately owned FX Brokerage to hire a "Head of Compliance."The role sits on the Trading Floor and supports the FX Sales and Trading teams.
The company are a global FX trading institution, trading Spot/ Forward FX, FX Options, as well as bespoke FX Structured Products on behalf of behalf of global Corporate Institutional clients that need FX solutions.
The business is highly profitable, with huge YoY growth. They boast a low turnover of staff, with a genuine family feel. Their offices are stylishly designed and located in the heart of London's West End. The company have an amazing working culture, invest a lot of money into technology and automation.Our client is looking for someone who has a strong all round "Generalist Compliance" experience, but with particular leaning towards "Regulatory Compliance", so for example all Regulatory experience working in a MiFID firm and Payment Institution – as per FCA Handbook and relevant regulations (i.e.
SMCR, MiFID II).The role will also be responsible for Compliance Monitoring and also some Legal type work (how to interpret rules and regulations).
Having broader experience with Legal is a nice to have, but not essential. Our client is looking for someone with 5-years' experience as a senior Compliance Manager and a good understanding of stakeholder management (i.e. who are the stakeholders?).The company offer amazing benefits, such as gym membership for Mayfair based gyms, a good bonus package, as well as loads of social events, which ensure you will enjoy working there and build last friendships and memories whilst working for them.
This role is predominantly office based with the ability to work from home upon discussion with the line manager. During the probation period (3 months), you will be required to work full time from the office.Responsibilities include:
Key responsibilities As the Head of Compliance, you will be responsible for:Day to day management of the Regulatory Compliance teamActing as the first point of contact for the business and Executive team for any legal regulatory compliance adviceLegal & Compliance Horizon monitoringWorking with the firms front office sales and dealing teams to provide oversight of their activitiesVendor Due Diligence and monitoring all contractual NDAs, T&Cs etc across the businessAssisting the CLCO in preparing quarterly management information for the Audit and Risk CommitteeDesigning and conducting compliance commonitoring programWorking with the Compliance team to provide guidance, advice and training to the firm's staff in relation to Compliance mattersMaintaining compliance policies, procedures, and other central compliance duties, including SMCREnsuring all Regulatory Reporting & Fillings are completed within the deadline.
Essential experience & skills5+ years core compliance experience in an investment firm or other financial services sector, in a management roleKnowledge of MIFID 2, including client classification for professional clients, best execution, client disclosures, remuneration policies and ongoing training requirements for MIFID staffUnderstanding of the SMCR rules and implementation of suitability and background checksExperience with FCA reporting for PSD and MiFID firmsA good knowledge of data protection and GDPR rulesExperience in making judgments from applying policies and processes to non-routine scenarios with imperfect informationDemonstrate strong moral and ethical principlesComfortable in a fast-paced environment, where non-routine and/or complex issues are common.
Salary£120 k pa - £140 k pa plus bonus, Mayfair Gym Membership, Medical Healthcare, discounted Food Deliveries.