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 24 hours ago
Compliance Officer
London
Our ClientOur client, a global multi-strategy hedge fund with c. $25bn AuM, is looking for a Compliance Officer to join its London-based...
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12 days ago
Compliance Associate
London
Our ClientOur client, a boutique financial services regulatory consultancy, is looking for a motivated regulatory associate with stron...
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12 days ago
Regulatory Reporting Officer (Contract)
London
Our ClientOur client, one of the world's leading buy-side firms, is currently looking for a Regulatory Reporting Officer on an interim ...
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12 days ago
Head of Compliance
Brussels
£125,000
Our ClientOur client, a leading insurtech firm, is expanding its presence out into Brussels (Belgium) and is now looking for a Head of...
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12 days ago
Compliance Director
City of London
£120,000
Our ClientOur client, a leading law firm, is growing its new regulatory consulting arm and has a key vacancy for a dynamic Compliance ...
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12 days ago
Compliance Manager
London
£65,000
Our ClientOur client, a fast-growing insurtech, is currently looking for a Compliance Manager for their London office. This role report...
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12 days ago
Compliance Analyst
London
Our ClientOur client, a macro hedge fund, is seeking a Compliance Analyst to join their Compliance department in London on a permanent ...
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12 days ago
Senior Distribution Compliance Manager
London
Our ClientOur client, an investment management group, is seeking a Senior Distribution Compliance Manager, to join their London team.Thi...
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12 days ago
Compliance Officer
London
Our ClientA leading alternative investment manager is looking to hire a Compliance Officer into their advisory compliance team. The C...
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12 days ago
Compliance Associate
London
£40,000
Our Client Our client is a leading specialist consulting firm that provides governance, risk, and compliance solutions. This role will...