Head of Compliance jobs in United Kingdom
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.
United Kingdom
The United Kingdom is the amalgam of Great Britain (which comprises England, Wales and Scotland) and the northern portion of Ireland. Its capital, London, is known as Europe's financial hub, and one of the world's most cosmopolitan cities. The United Kingdom is also known for other major cities, like Birmingham, Liverpool, Manchester, Belfast, Edinburgh, Glasgow and Cardiff.
The UK has made significant contributions to the world, most of them being cultural. Literature, theatre, musicals, film, television, music - many big names in these fields are from the United Kingdom.
Financial Services Sector in the UK
The United Kingdom - and more specifically, its capital London - has always been considered a world financial hub. Its financial services sector is quite massive: in 2018, it contributed £132 billion to the overall UK economy. It is known to be London's largest sector, with 1.1. million jobs in 2018. The city is also known for its huge amount of foreign banks: in the beginning of the 20th century, London had more foreign banks that any other city in the world.
Getting around
Traveling and getting around the UK is easy for anyone, thanks to its extensive and efficient public transport system, which allows you to go anywhere in the blink of an eye. Because the country is relatively small, journey times are always reasonable: for example, getting from London to Edinburgh is a 4-hour journey if you decide to take the train.
In major cities like London or Manchester, you will also find an extensive public transport system, which includes bus, tube, train, boats, and other alternatives. Getting from one point to another is extremely easy, especially if you have a traveling application like Citymapper or Google Maps on your phone to help you find the fastest - or cheapest! - journey.
Latest jobs in Compliance
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about 10 hours ago
Compliance Officer
London
Our ClientRutherford have been mandated on an exciting role for a Compliance Officer to join our hedge fund client's London office. The...
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about 10 hours ago
Compliance Officer
London
Our ClientOur client, a UK-based exchange, is currently seeking a Compliance Officer to join its London office. Reporting into the Head ...
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about 10 hours ago
Compliance Officer
Amsterdam
Our ClientOur client, a UK-based exchange, is currently seeking a Compliance Officer to join its Amsterdam office. Reporting into the Hea...
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2 days ago
Legal and Compliance Vice-President
London
Our ClientOur client, a prominent global private equity firm, is actively seeking an accomplished professional to join their Legal &...
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2 days ago
Compliance Officer
London
Our ClientOur client, a leading global hedge fund, is currently seeking a Compliance Officer for its London offices. The business focuse...
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2 days ago
Legal & Compliance Officer
Copenhagen
Our ClientWe are partnered with a leading asset manager that are looking for a Legal & Compliance Officer in their Copenhagen office...
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2 days ago
Associate Compliance Manager
Greenwich
$90,000 - $120,000
Our ClientRutherford are partnered with a global Private Equity firm headquartered in Greenwich with offices also in London. Founded al...
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2 days 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-base...
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2 days ago
Compliance Analyst
London
Our ClientRutherford have been mandated on a fantastic opportunity for a Compliance Analyst to join our UK asset manager client's London...
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3 days ago
Compliance Associate
New York
$100,000 - $160,000
Our ClientOur client, a global leader in alternative Investment Management are in the market for a Compliance Associate in New York. The...