Assignments

Exclusive: Compliance Manager – Anti-Bribery & Corruption/Compliance or Ethics experience required (from any sector) – Ref: 3620G

£75K – £120K + Excellent Bens & Bonus West End

Ref: 3620G

We are exclusively recruiting for a growing multi-national Energy firm seeking to recruit their first Compliance & Ethics Manager to take accountability and oversight all Compliance responsibilities. There is a detailed and up-to-date programme in place including group wide policies and procedures, however you will be tasked with maintaining and developing it across all global regions. Reporting to the Head of Legal, duties will include:

• Maintain and update existing ABC and related compliance & governance policies and procedures for efficacy, compliance with legislation, good practice, and in relation to Group’s risk appetite.
• Continue to implement the Group’s framework to mitigate anti-bribery & corruption risk, including articulation of required controls by the Group businesses, procedures, guidance on topics (including third party Intermediaries, gifts and hospitality, charitable donations) and the identification, assessment and monitoring of anti-bribery and corruption risk.
• Be a point of escalation from an anti-bribery and corruption risk point of view in respect of due diligence carried out on third parties and make judgments about whether any such risk may be acceptable in line with the Group risk appetite.
• Provide advice to senior management, business and functions as applicable in relation to Anti-Bribery & Corruption and other ethics and compliance risk areas.
• Monitor external developments in relation to significant Anti-Bribery and Corruption legislation, enforcement & best practice and update policies as appropriate.
• Contribute to the development of and implementation of other aspects of Group ethics and compliance programme as required.
• Act as a subject matter expert in relation to Anti-Bribery & Corruption investigations, and in that capacity support or lead such investigations.

You should have considerable experience of developing and implementing a global compliance and anti-bribery & corruption programme in an international environment with an in-depth understanding of anti-bribery & corruption risk and mitigation. This may have been gained either in a similar in-house role or else a leading consultancy (or law firm). NB Whilst our client is willing to consider candidates from any sector, any knowledge of the Oil & Gas or Extraction sectors would be advantageous although more important is a strong intellect (possibly supported by academic or professional qualifications).

The role will involve some travel to the groups global sites so you must be flexible to travel as required (circa 10% of the year). This is an excellent opportunity to take responsibility of a Compliance Function in a very visible and responsible role where you will be instrumental in all compliance and ethics decisions across the Group.

For further information or a confidential no obligation discussion, please feel free to contact Gary Collins on 020 7562 7400 or send your details to gary@symescollins.com

We are acting as an employment agency in relation to this role.
Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Officer for Non Regulated Tech Start-Up – Banking or Asset Management Experience Required – Ref: 3613G

£75K – £100K + Bonus & Equity Participation

London

Our Client, one of the UKs fastest growing Tech start-ups providing research capabilities to the Financial Services sector, is looking to appoint their first Compliance Officer given their involvement with a highly regulated area (although not themselves regulated). You will be tasked with growing the compliance function and as part of the senior management team you will be instrumental in advising the business on their ongoing and changing compliance and ethics obligations as the business grows. Reporting to one of the founding Partners, duties will include:

• Work with compliance consultants to tighten and build upon current compliance policies.

• Oversee current compliance processes which include background checking of consultants, onboarding clients, monitoring day to day operations and supporting any compliance related matters that occur on a day to day basis

• Producing reports in a timely manner, clearly identifying issues and required actions

• Proactively identifying and assessing compliance related risks and supporting to minimize these risks

• Working with the founders to conceive and build upon compliance platform and advice on ongoing product development and enhancement.

• Hire, build and motivate a team spanning multiple continents

• Be a firm yet positive influence on your more junior colleagues helping them build their professional skill set.

The successful candidate is likely to have gained at least five years experience within the compliance function of a regulated financial services business, preferably banking or asset management, with a strong knowledge of the FCA Rules. You will also have a good awareness of EU regulations and either knowledge of the US regulatory structure or willingness to pick it up quickly. Also as this is an AI / IT Based Platform Business, an understanding of IT and the desire to work in a fast paced and ever changing environment is necessary.

While the business is experiencing unprecedented growth and investment interest, like any business in the start-up phase costs are a major factor, thus whilst my client is looking for an experienced and ambitious compliance officer they are restricted on offering high base salaries but do offer very good equity participation in what is a first mover in their space with great future growth projection.

This really is one of those once in a career opportunities to join a business that is going places in a senior equity participation role. So, if you are looking to move to an exciting fintech entrepreneurial business at an exciting time of their growth and development in a very visible and responsible role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com

Head of Compliance & MLRO – Asset Management – Ref: 3567G2

                           

€140K – €160K + bonus & benefits

Dublin

Our Client, a leading US Asset Manager, is looking for a Head of Compliance & MLRO for their newly created European business based in Dublin. You will have primary responsibility for the development and operation of the Company’s permanent and independent compliance function. Reporting to the CEO, duties will include:

• Management of the Compliance department including recruitment and supervision of staff, allocation of resources and oversight of budget.
• Advising and liaising with management and staff throughout the business on compliance and regulatory issues and their obligations.
• Developing and maintaining compliance policies and procedures to ensure the firm adheres to its regulatory requirements in Ireland and Europe.
• Key contact for liaison with regulators (CBI, ESMA) and maintaining a good relationship with all regulators, ensuring regulatory permissions remain current and appropriate for business needs.
• Implementation and conducting all compliance surveillance and monitoring activities.
• Keeping abreast of regulatory developments and industry initiatives and advising the firm accordingly.
• MLRO for the firm, ensuring business activities are conducted in conformity with applicable AML laws, regulations and internal policies and procedures.

The successful candidate must have gained significant senior Asset Management Compliance experience ideally with some exposure to UCITs and/or segregated mandates and should either currently hold a PCF15 or be a deputy ready and willing to take this responsibility for the first time.

This is a very visible, influential and independent role and as such requires the candidate to not only be technically strong but also to have exceptional interpersonal and influencing skills. You will also have the ability to present complex technical information clearly and accurately and to manage senior level relationships with internal and external parties including the regulators.

This is an excellent opportunity for an experienced and talented senior compliance practitioner to join the newly created Irish Arm of a multi-billion dollar US Asset Manager in a position that will be technically challenging but also allow you the autonomy to develop the Compliance Function in your style and ensure that a strong and supportive compliance culture exists and is maintained throughout the business.

So if you are keen to be part of something new and exciting and believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com

Exclusive: Head of Compliance & MLRO (and Deputy CEO) – Irish or UK Fund Management Experience required – Ref: 3597G

Ref: 3597G                                                                                       Dublin

€ 100K – € 120K + Bonus & Benefits

Our client, a leading Global Fund Manager, is looking for an ambitious Senior Compliance Practitioner to be their first PCF15. While the business is already established in Dublin, all compliance has thus far been looked after from the UK based office, however due to continued Irish growth they are now applying for a MiFID licence and hence looking to appoint their first local Head of Compliance & MLRO. Reporting to the Irish Board and CEO (and deputising for him when necessary), duties will include;

• Day to day management and responsibility for the compliance function of Ireland in relation to all aspects of regulatory compliance for the firm’s business.
• Responsibility for financial crime including AML and CTFC and ensuring systems and controls are in place to manage financial crime risk.
• Representing the firm in its relationship with the CBI, including all correspondence and reporting.
• Regulatory change – analysing consultation documents issued by the CBI, engaging with the Irish Funds Association in responding to CBI policy initiatives and providing input to the regulatory change steering group in London.
• Working with group compliance to set compliance policies for the Irish entity.
• As MLRO, liaise with Garda National Drugs and Organised Crime Bureau (GNDOCB) and crime prevention organisations
• Due diligence and oversight in respect of the financial crime and compliance plans undertaken by the firm’s delegate third party administrator.
• Developing and undertaking a compliance monitoring programme that is appropriate for the firm’s business.
• Providing written Board reports and attending Board meetings as required.

You should have gained significant retail or institutional fund management compliance experience either in Ireland or the UK with some awareness of the CBI regulations as relevant to the Fund Management Industry as well as detailed knowledge of MiFID rules and requirements. While an in-depth knowledge of UCITS and AIF’s rules is also required, as important will be your hands on approach and practical operations and controls knowledge. This is an excellent opportunity to join a well established business at an exciting time of their development and growth in a role that will be broad and exciting. For the right person this role will be the effective number 2 to the CEO and you will be offered the opportunity to take on more strategic and business specific responsibilities as part of the senior management team.

So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com

Symes Collins – Part of the Compliance Recruitment Solutions Group

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

In-House Lawyer – German Qualified Lawyer with Financial Services Knowledge Required – Ref: 3599G

Ref: 3599G Kaiserslautern/Frankfurt

€130K – €175K + bonus & benefits (including relocation if required)

Our Client, a leading US Financial Services Group, is looking for an In-house Lawyer for their European business based near Frankfurt. Reporting to the German CEO, with primary responsibility for legal advice and support across the business, duties will include:

  • Responsible for the submission of legal assessments, advice and recommendations for action across the business
  • Responsible for handling particular legal cases
  • Collaboration with the compliance team regarding various supervisory and other legal or internal company processes
  • Supervision and support of trials in court (although no representation in court required)
  • Independent analysis of relevant legal matters concerning the business
  • Formulation of internal legal policies as well as review, drafting and approval of regulatory policies.
  • Supervision of and point of contact for external law firms
  • Point of contact for the American parent company in all legal matters across the business
  • Autonomous drafting of agreements and overseeing contract negotiations with various partners of the business.
  • Working alongside the HR department advising on Employment Law matters.

The successful candidate must have first and second legal state examination (“Staatsexamen”) with at least 8 years post qualification experience as a lawyer in the field of capital markets, fund management and/or financial supervision. You must be fluent in written and spoken German & English and should also have some knowledge of employment law (or be prepared to pick up when required).

NB Salary dependent on length and relevance of experience.

This is an excellent opportunity for an experienced and talented senior Lawyer to join the German Arm of a multi-billion dollar US Financial Services Group in a position that will be challenging but also allow you the autonomy to develop the Legal Function in your style and ensure that a strong Legal framework exists and is maintained throughout the business.

NB This job is based in the main German office near Kaiserslautern, but if more convenient for 2 days per week can be based in the Frankfurt office instead.

So if you are keen to be part of something exciting and believe you have the breadth of legal experience and self-drive to take ownership of this role then please contact Gary Collins on ++ 44 (0) 20 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com

ETHICS AND COMPLIANCE COUNSEL (12 MONTH FTC) – QUALIFIED LAWYER WITH COMPLIANCE &/OR ETHICS EXPERIENCE (ANY SECTOR) – Ref: 3566G2

Ref: 3566G2

£75K- £80K + Bens + 10% Bonus City

Our Client, a leading research & technology group is recruiting for a 12-month FTC in their Ethics and Compliance Department within Group Legal. You will be responsible for supporting the Assistant General Counsel in providing legal advice and assurance to the business in relation to various legal compliance and reputational risk management matters, with a particular focus on anti-bribery and corruption, competition, financial crime, modern slavery and conflicts of interest. Key Responsibilities include;

• Support the development, implementation and enforcement of the Group’s Ethics & Compliance programme from a U.K. and RoW perspective (excluding the U.S. and China).
• Provide high quality, practical and commercial advice/guidance regarding legal compliance risk areas and reputational risk management issues to a range of stakeholders within the global organisation (including regional management teams).
• Assist with development and implementation of policies, procedures and other internal guidance to ensure they reflect any updates to relevant local laws and are in alignment with the overall goals of the Ethics & Compliance programme.
• Obtain appropriate advice from external counsel where necessary including if foreign legal advice or deep subject matter expertise is required.
• Review activities and transactions to ensure that business is being conducted in an ethical and compliant manner and that policies and procedures are followed to reduce the risks of non-compliance with laws, regulations and reputational risk.
• Help to ensure consistency of approach to legal compliance issues across Sectors.
• Support internal investigations into allegations of non-compliance with the Ethics & Compliance programme.
• Help to provide oversight and assurance of the Groups Ethics & Compliance programme, which includes periodic visits to sites globally (typically involving travel 10 % of time).

You should be a qualified lawyer in England & Wales, with experience advising in relation to legal compliance risk areas, ideally including knowledge of resolving ethical issues in a business context and/or Anti Bribery & Corruption. Start date asap (or by early March latest).

For a confidential no obligation discussion, please feel free to call Gary Collins on 020 7562 7400 or send your details to gary@symescollins.com

Symes Collins – Part of the Compliance Recruitment Solutions Group
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Consulting (Managers & S/Managers) – Consulting Experience Required (from Ireland, UK , Europe, North America, Australasia, Hong Kong or Singapore) – Ref: 3600D

Ref: 3600D
€60K-€110K + good bonus & generous bens inc relocation
Dublin

Our client, a global consultancy, are seeking to recruit Managers & Senior Managers to build up their financial services regulatory consulting team in their Dublin office. Duties will include;

• Advising on new authorisations
• Assisting in implementing new procedures and systems as required Advising on ongoing business requirements
• Carry out required monitoring work and Special Investigations
• Assist in regulatory reporting
• Internal & External Networking
• Ad hoc projects

You should be a graduate (or have equivalent professional qualifications) with at least five years previous experience of Compliance or Financial Crime from within Banking, Investment Management or Insurance, some of which must have been gained from another Consulting Firm (large or medium sized) whether in Ireland, the UK & offshore or another leading regulated financial centre (Europe, North America or APAC i.e. Australasia, Hong Kong or Singapore)

You must be used to dealing with a myriad of different clients & pressures and have good interpersonal skills and a flexible attitude. Excellent opportunity to join an industry leader at a time of strong growth in this attractive and interesting City with plenty of cultural activity & nightlife and a great quality of life (including short commuting times).

NB Full relocation packages including assistance with visa/work permit offered

For a confidential no obligation discussion, please feel free to call David Symes FCA (Managing Consultant, Compliance Recruitment Ireland) on +353 (1) 563 4310 or send your details to david@compliancerecruitment.ie

Compliance Recruitment Ireland – a partnership between Compliance Ireland and Compliance Recruitment Solutions

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.  

Compliance Consulting (Managers & Senior Managers) – Ref: 3601D

Ref: 3601D

€60K-€110K + good bonus & generous bens Dublin

Our client, a global consultancy, are seeking to recruit Managers & Senior Managers to build up their financial services regulatory consulting team in their Dublin office. Duties will include;
• Advising on new authorisations
• Assisting in implementing new procedures and systems as required
• Advising on ongoing business requirements
• Carry out required monitoring work and Special Investigations
• Assist in regulatory reporting
• Internal & External Networking
• Ad hoc projects

You should be a graduate (or have equivalent professional qualifications) with at least five years previous experience of Compliance or Financial Crime (i.e. AML policy & procedural drafting not just CDD/KYC) in Ireland from within Banking, Investment Management or Insurance. This may have been gained from an in-house position within a leading Financial Services organisation, another Consultancy/Law Firm or else the Regulator.

You must also have good interpersonal skills and a flexible attitude.

For a confidential no obligation discussion, please feel free to call David Symes FCA (Managing Consultant, Compliance Recruitment Ireland) on +353 (1) 563 4310 or send your details to david@compliancerecruitment.ie

Compliance Recruitment Ireland – a partnership between Compliance Ireland and Compliance Recruitment Solutions

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.  

Head of Anti Bribery & Corruption – Ref:3585G

Ref: 3585G

£120K – £140K + V Good Bens (inc Excellent Pension & Flexible Working)

City

Our Client, a leading FTSE 250 Group, is seeking a Head of Anti-Bribery & Corruption to further develop and lead the Group’s Programme to address the risks of bribery and corruption globally and serve as the subject matter expert for Anti-Bribery & Corruption. In this stand alone role, responsibilities will include
• Assess existing ABC and related policies and procedures for efficacy, compliance with legislation, good practice, and in relation to Group’s risk appetite.
• Develop the Group’s framework to mitigate anti-bribery & corruption risk, including the updating of policies, articulation of required controls by the Group businesses, procedures, guidance on topics (including but not limited to Third Party Intermediaries, gifts and hospitality, charitable donations,) and the identification, assessment and monitoring of anti-bribery and corruption risk.
• Be a point of escalation from an anti-bribery and corruption risk point of view in respect of due diligence carried out on third parties. Make judgments about whether any such risk may be acceptable in line with the Group risk appetite.
• Provide legal advice, and practical (including addressing reputational risk management) advice to the Sector Heads of Ethics & Compliance, legal teams, senior management, business and functions as applicable in relation to Anti-Bribery & Corruption and other ethics and compliance risk areas (including but not limited to trade compliance and sanctions, anti-money laundering and competition law).
• Monitor external developments in relation to significant Anti-Bribery and Corruption legislation, enforcement, and best practice, and update policies as appropriate.
• Review and update as required the training programme to promote both ABC awareness and understanding of the risks to the Group as appropriate, using a combination of the material available through the on-line training provider and face to face training to a range of stakeholders (including on a train the trainer basis) with different learning needs. Deliver training on an on-going basis as required.
• Contribute to the development of and implementation of other aspects of Group ethics and compliance programme as required.
• Act as a subject matter expert in relation to Anti-Bribery & Corruption investigations, and in that capacity support or lead such investigations You should have considerable experience of developing and implementing a global anti-bribery and corruption programme in an international environment with an in-depth understanding of anti-bribery and corruption risk and mitigation.

NB this experience may have been gained either in a similar in-house role or else a leading consultancy or law firm. For further information or a confidential no obligation discussion, please feel free to contact Gary Collins on 020 7562 7400 or send your details to gary@symescollins.com