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.
3 days ago
City of London
Our ClientOur client, a leading law firm, is growing its new regulatory consulting arm and has a key vacancy for a dynamic Compliance Di...
4 days ago
Regulatory Consultant - Capital Markets
Our ClientOur client, a boutique financial services regulatory consultancy, is looking for a motivated regulatory Consultant with a stro...
4 days ago
Our ClientOur client, a boutique financial services regulatory consultancy, is looking for a motivated regulatory Associate with a stro...
4 days ago
Head of Compliance
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5 days ago
AML Risk Manager
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Senior Compliance Officer
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Compliance Business Partner
Our ClientOur client is a renowned global insurance broker who is seeking a Compliance Business Partner. This role reports into the Seni...
11 days ago
Legal and Compliance Analyst
Our ClientRutherford have been mandated on a brilliant opportunity for a Paralegal to join one of the world’s leading investment firms. ...
12 days ago
Financial Crime Advisory Officer
Our ClientA leading global asset manager with $500BN+ AUM are looking for a Financial Crime Advisory Officer to join their London team. ...
13 days ago
Associate – Payments & E-Money
Our Client Our client, a boutique financial services regulatory consultancy, is looking for a motivated regulatory Associate with a s...