Job Description
THE COMPANY:
The Client are a multi jurisdiction financial institute offering Private Banking, Retail and Digital banking for Corporate & Retail Clients. The firm are looking to hire a Head of Compliance on a 6 month FTC basis.
THE RESPONSIBILITIES:
1. Oversee and manage the Compliance team in their daily activity providing direction, support and insight to all regulatory compliance and financial crime matters.
2. Monitoring, advisory and oversight of Data Protection/GDPR across the business.
3. Manage the regulatory policy framework for the company assessed against the business activities and ensure that it remains appropriate.
4. Ensure that the regulatory rules and necessary permissions are mapped and documented against business activities.
5. Monitor and, on a regular basis, assess the adequacy and effectiveness of the measures and procedures put in place in accordance with SYSC 6.1.23R and the actions taken to address any deficiencies in the firm’s compliance with its obligations, including MiFID.
6. Advise and assist the relevant person(s) responsible for carrying out regulated activities to comply with the firm’s obligations under the MIFID regulatory system. Ensuring compliance with BCOBs, CD.
7. Annual sign off of Terms & Co...