Head of Compliance jobs
Sometimes called Head of Compliance, sometimes Chief Compliance Officer (CCO), the individual sitting in this role is typically responsible for the entire compliance and risk function within a firm. The Head of Compliance will also usually advise appropriate internal committees on risk management and compliance activities.
The Chief Compliance Officer will also oversee compliance with laws, regulatory requirements, policies and procedures for a given firm.
Usual Key Duties
As the Subject Matter Expert, establish standards an implement procedures
Ensure compliance programs are effective and efficient within the organisation
Advise the business and senior management on all regulatory obligations and procedures required to ensure compliance with these obligations
Build trusted relationships with regulators and the firm's senior management team
Design monitoring programmes
Oversee and design the training of internal teams on compliance matters: provide appropriate training to ensure that everyone is made aware of their regulatory responsibilities
Constantly promote a positive compliance culture
Conduct AML risk assessments of existing or potential clients, then make recommendations to management
If required by the firm, attend committees such as the Governance and Risk Committee or the Audit Committee
Ensure efficient and effective implementation of all new compliance policies
Manage a team (depending on the size and structure of a firm)
Assume the SMF16 or SMF17 function (depending on the size and structure of a firm)
Develop compliance policies and procedures for the firm
Usual Required Skills
Strong leadership skills
Extensive regulatory experience
Strong policy knowledge, if required
Team management experience
Ability to design and implement improvements to processes, procedures and frameworks
Strong time management
Strong prioritisation skills
Compliance is the departmental embodiment of an organisation's moral compass. It is tasked with protecting a business and its stakeholders, both internally and externally. This regulatory leader must internalise conflicts and exercise supreme judgement in balancing the need to allow its business to flourish in an increasingly complex regulatory environment, whilst avoiding the potentially devastating consequences of non-compliance. Rutherford understands the seriousness of all Compliance hires: that is why we are specialists in the space. We know that deep market knowledge, relationships and networks are all vital to recognising that elusive cultural fit when we see it.
Latest jobs in Compliance
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about 22 hours ago
Head of Advisory
City of London
£110,000
Our ClientOur client is a leading financial services group with a specialism in wealth management. They are now looking for a Head of Ad...
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1 day ago
Compliance Officer
New York
Our ClientAn exciting multi-strategy investment firm - with a focus on digital assets - is currently looking for a Compliance Officer in...
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4 days ago
Compliance Analyst
London
Our ClientOur client, a global Investment Management firm is currently seeking a Compliance Analyst to join their team in London.Main D...
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4 days ago
International Compliance Associate
New York
Our ClientOur client, a rapidly-growing New York based private equity fund, is currently seeking an International Marketing Compliance As...
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4 days ago
FX OTC Operations Analyst
London
Our ClientOur client, a leading buy-side multi-strategy hedge fund, is currently looking to hire a FX OTC Operations Analyst for its Lon...
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4 days ago
Senior Compliance Advisor
London
Our ClientOur client, the global investment arm of a US-based financial services organisation, is currently seeking a Senior Compliance ...
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4 days ago
Compliance Associate
New York
Our ClientOur client, a rapidly-growing New York based private equity fund, is currently seeking a Governance and Marketing Associate fo...
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4 days ago
Conduct Risk Manager
London
£375/day
Our ClientOur client, a general insurance firm, is urgently looking for a Conduct Risk Manager to join its growing, dynamic team of 3 in...
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4 days ago
Compliance Analyst
London
Our ClientOur client, a US hedge fund circa $40bn AuM, is currently seeking a Compliance Analyst to join its London office. The successf...
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4 days ago
Chief Compliance Officer - Crypto (Re...
United States of America
Our ClientOur client, a leading crypto currency group, is looking to hire an experienced compliance professional to build out and lead t...