Chief Compliance Officer

THE COMPANY:

Our client is a global wholesale banking business based in London. With an international reach, they are a truly first class employer.

THE RESPONSIBILITIES:

• Promoting a compliance culture, championing compliance and providing compliance thought leadership.
• Leadership and management of the Compliance team.
• Planning and implementing the UK compliance strategy, including embedding best practices.
• Support and advisory services to lines of business and corporate support areas, including but not limited to, on business as usual queries, new business initiatives and regulations.
• Liaising with the FCA and PRA.
• Liaising with relevant financial services trade bodies and similar bodies, banks, and financial institutions with similar ethos and outlook, ensuring visibility for the bank and networking opportunities.
• Liaising with relevant external stakeholders (for example, legal counsel, consultants and vendors).
• Oversight of the Compliance team in the maintenance of compliance policies.
• Oversight of the compliance training programme, including implementation of the yearly training plan, identification of relevant training courses and the face to face delivery of certain training courses.
• Oversight of the Compliance monitoring and surveillance programme.
• Oversight of the review and implementation of the conduct risk framework.
• Oversight of assessing and implementing relevant regulations and regulatory outputs (for example, speeches, good and poor practices, thematic reports, surveys, reports).
• Responsibility for the insider dealing and market abuse aspects of financial crime (excluding fraud, bribery and corruption, anti-money laundering, terrorist financing and sanctions).
• Responsibility for complaints handling.
• Responsible for compliance reporting to senior management and relevant board(s).
• Responsibility for conduct rules training of Capital Markets London staff.

EXPERIENCE REQUIRED:

• Minimum of 10 years’ experience in compliance in the international banking and the wholesale financial markets
• Experience and strong knowledge of UK regulations
• Good knowledge and experience of dealing with the regulators
• Strong leadership skills
• Ability to translate strategic priorities and adopt a proactive approach to the compliance mission and take a balanced view
• Experience of establishing, reforming and managing teams
• A logical and practical approach to work
• Strong attention to detail and the ability meet deadlines with minimal supervision

For further information please contact Hannah Tabatabai