Deputy Head of Compliance
This is a fantastic opportunity for a Senior Compliance Manager to take the next step and transition into the role of Deputy Head of Compliance. This key position involves overseeing the daily operations of the Compliance team while playing a pivotal role in significant regulatory projects and initiatives.
Responsibilities:
* Deputising for the Head of Compliance & MLRO as delegated, including acting as the liaison with regulators, exchanges, and senior managers within the firm.
* Assisting with the maintenance of the Compliance Monitoring Programme, conducting reviews, documenting reports, and tracking exceptions.
* Managing the Compliance Calendar to ensure timely reporting to regulators, compliance audits, and risk assessments as required by the firm or its branches.
* Acting as a senior compliance representative in internal working groups or committees, providing input on exceptions, audit findings, and compliance updates affecting the business.
* Preparing management information for the board, working groups, committees, and other relevant stakeholders such as regulators or auditors.
* Advising the business on trade issues, customer enquiries, questionnaires, compliance exceptions, and interpretation of regulatory requirements.
* Ensuring timely reporting of incidents to regulators or internal stakeholders as prescribed. Reviewing policies and procedures to confirm they are fit for purpose and aligned with business and regulatory requirements.
If you believe your experience meets the criteria of the above, please apply with a copy of your CV.