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.

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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

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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

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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.