Assignments

EXCLUSIVE: GLOBAL HEAD OF COMPLIANCE (PART TIME – 3DPW) BOUTIQUE ASSET MANAGER – ASSET MANAGEMENT EXPERIENCE (INC AIFMD & MIFID II) REQUIRED

Ref: 3982G

£125K – £160K pro-rata + Bonus & Benefits Hybrid/London

We have been exclusively retained by our Client, a Global Asset Manager, looking to hire a Global Head of Compliance who will be the UK SMF16 for their newly Authorised UK business with oversight for their global operations. Reporting to the CEO and Board, duties will include:

Ensuing regulatory compliance across multiple jurisdictions, including the UK, Jersey, Dubai, Cayman Islands and BVI.
Advising the senior management team on all UK Compliance, Risk and AML obligations and requirements, ensuring they are kept up to speed with all new and upcoming regulatory changes.
Overseeing the UK Office’s compliance programme and reviewing, writing, and implementing policies and procedures as required.
Assessing the risk framework for funds and accounts managed/advised by the UK Office.
Conducting periodic testing in accordance with compliance monitoring programme
Assisting in preparation of risk and compliance-related supporting documentation and materials for quarterly UK Board meetings
Managing other compliance function duties e.g. training, verifying restricted lists, overseeing PA dealing, breaches registers and gifts/entertainment registers

The successful candidate will be degree educated and must have gained a minimum of eight years asset management compliance experience, with a good knowledge of the relevant UK rules and regulations applicable to UK Asset Management business (including FSMA, AIFMD & MiFID II). Any experience in a Global role is useful but more important is a “sleeves rolled up approach”, willing to learn new material, take responsibility and get involved in the detail of compliance issues.

This is a fantastic opportunity for a confident and polished individual with strong interpersonal skills to join a hugely successful global asset manager in a very visible and influential role. The business is seeing significant growth and is well placed because of its product focus to continue to grow.

If you feel you have the above average interpersonal skills and technical knowledge to help the business please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollinstg.wpengine.com (including a contact number & email) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).

EXCLUSIVE: UK MLRO; GLOBAL HEAD OF FIN CRIME – UK AML AND GLOBAL FIN CRIME EXPERIENCE REQUIRED

Ref: 3981G

£110K – £130K + Benefits & Bonus Hybrid/City

We are exclusively recruiting for our client, a VC backed growing international payments business with an exciting vision seeking a UK MLRO. Based in the UK Head Office you will be responsible for Global Financial Crime, thus in the short term you will manage any issues in the global countries already operating in, whilst also assisting with licensing applications in new global territories. Reporting directly to the CEO, responsibilities will include;

Head and run the AML & Fin Crime and Internal Controls functions
Build working relationships with the FCA, FOS and UK law enforcement agencies as well as the Regulators in Africa and other global countries already operating in
Advise all staff on new rules and regulations;
Maintain policies and procedures in accordance with regulatory requirements and corporate governance guidelines;
Work together with marketing and communications to ensure that all public communication meets local regulatory rules.
Implement controls and work together with marketing and customer support to ensure that compliance requirements are met in all licensed territories
Drive new opportunities for the business from a compliance angle
Drive global licensing efforts including the acquisition of licenses across Africa and Middle East

You should have solid UK AML experience with a good understanding of how overseas general business approaches (including regulatory) differ from the UK. You should also be able to operate at a strategic level, advising the Founders, Board & VC backers whilst still able to roll up your sleeves and work closely with your direct reports. Any experience of licensing useful but more important are strong relationship management skills, able to work well with the local Regulators already licensed with as well as those yet to be approached.

This is a fantastic opportunity to join this exciting and well established payments business at a significant moment in their ongoing growth.

So, if that sounds like you, then please send your details to Gary Collins in the first instance gary@symescollinstg.wpengine.com (Including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).

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

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 CONSULTANT – ASSET MANAGEMENT/BUY SIDE EXPERIENCE REQUIRED

Ref: 3975G

£60K – £70K + Bonus + Benefits Hybrid (London)

Our client, a growing UK and US Compliance Consulting Firm, is looking for an experienced Compliance practitioner to join their growing consultant ranks. Reporting to the Managing Director, you will assist Compliance Directors with a portfolio of clients, including Asset Managers, Private Wealth Managers & Private Equity Boutiques. Duties will include:

Providing compliance advice, anticipating the regulatory compliance needs of clients
Setting up compliance infrastructure for clients
Implementing regulatory change and improvement initiatives including policy frameworks
Providing technical opinions, responding to ad-hoc and routine regulatory queries
Undertaking compliance projects, monitoring reviews, and drafting compliance monitoring reports Preparing professional reports and presentations.
Assist in reviewing Fin Proms
Building and developing client relationships

The successful candidate will have at least 5 years compliance experience gained either with another compliance consultancy/law firm, an in-house Compliance team in a buy side firm (including asset management, hedge funds, private equity, real estate or other alternatives) or a regulator. Any exposure to US regulations would be advantageous but more important are good interpersonal skills and ability to liaise with clients staff at all levels from very junior up to Board level.

This is an exceptional opportunity to join a highly regarded growing Compliance Consultancy in a role where you will work autonomously but as part of a collegiate and extremely technically competent team. Promotional opportunities are extensive for those that regularly bring their A game and want to develop and grow their compliance knowledge and career.

Please note, my client has also highlighted that this role (unlike other consulting roles) does not have sales targets as they have separate sales and marketing team.

If you believe you have the required experience and above average interpersonal skills required by our client, please send your details to Gary Collins in the first instance gary@symescollinstg.wpengine.com (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Symes Collins are acting as an employment agency in relation to this role. 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.

SENIOR COMPLIANCE CONSULTANT – FCA ASSET MANAGEMENT EXPERIENCE (AND SOME SEC KNOWLEDGE) REQUIRED

Ref: 3974G

£100K – £130K + Bonus + Bens Hybrid (London)

Our client, a growing UK and US Compliance Consulting Firm, is looking for an experienced Compliance practitioner to join their growing consultant ranks. Reporting to the Managing Director, you will be responsible for a portfolio of clients, including Asset Managers, Private Wealth Managers & Private Equity Boutiques. Duties will include:

Acting as the primary compliance resource for a number of retained client relationships.
Providing strategic compliance advice, anticipating the regulatory compliance needs of clients
Provide resolutions for complex regulatory questions and issues
Setting up compliance infrastructure for clients
Undertaking compliance projects, monitoring reviews, and drafting compliance monitoring reports
Understanding and updating clients on regulatory change and how it impacts their business
Building and developing client relationships

The successful candidate will have at least 8 years compliance experience gained ideally with another compliance consultancy/law firm or an in-house Compliance team in a buy side firm (including asset management, hedge funds, private equity, real estate) or a regulator. While good FCA knowledge is required as important will be an understanding of SEC Regulations and the 1940 Investment Advisers Act.

This is an exceptional opportunity to join a highly regarded growing Compliance Consultancy in a role where you will work autonomously and under your own direction. You will be able to set you own hours with a balance of working in the office and from home (subject to attending client premises when needed, mainly in the Central London area).

Please note, my client has also highlighted that this role (unlike other senior consulting roles) does not have sales targets although BD is encouraged, they have a separate Sales & Marketing team so there is no expectation to win new business.

If you believe you have the required experience and above average interpersonal skills required by our client, please send your details to Gary Collins in the first instance gary@symescollinstg.wpengine.com (Including a contact number & email) however please note only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

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

EXCLUSIVE: MLRO – International Payment Services Experience Required

Ref: 3972G

£110K + Bonus + Benefits Hybrid (London)

Our Client, a UK start-up Challenger Bank, is looking to appoint a MLRO to be responsible for all Financial Crime matters, across International Payments, Mortgages and Current Accounts. Reporting to the UK Chief Risk Officer and advising the Senior Management Team on all Financial Crime matters, you will be tasked with building and implementing a best-in-class AML Framework and Programme. Duties will include;

Managing regulatory relationships and interaction, being the main point of contact for all reporting
Keeping abreast with developments in the regulatory and technology environments to ensure best-in-class financial crime and AML risk management.
Managing oversight of transaction monitoring on client activity and responsible for all SARs
Supporting the development and integration of the AML Risk Management Framework, including 2^nd Line of Defense monitoring and testing activities.
Managing the annual AML risk assessment for the firm reviewing all products and services.
Oversight of PEPs and Sanctions checking and reviewing this system regularly to ensure it supports full regulatory control.
Keeping up to date with regulatory changes, and implement relevant changes to the compliance manuals, policies and procedures.
Engender a culture of compliance and risk management.

The successful candidate must have significant Financial Crime / Compliance experience gained in the international Money remittance / e-Payments industry as a Compliance Officer, MLRO or Deputy MLRO, with good practical knowledge and deep expertise in AML and other applicable UK and International Financial Crime related regulations.

This is an excellent opportunity to join a well backed Challenger Bank Start-Up, at the beginning of their exciting journey. This role will form part of the UK senior management team and have oversight for Financial Crime globally so is not only one of influence and responsibility but also very visible in terms of future career development with the business.

So, if that sounds like you, thenplease send your details to Gary Collins in the first instance, gary@symescollinstg.wpengine.com however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).

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

EXCLUSIVE: HEAD OF AML & COMPLIANCE – COMMODITIES OR WHOLESALE TRADING AML EXPERIENCE REQUIRED

£90K plus Bonus & Benefits London

Ref: 3971G

Our client, a non regulated Global Metals Trader, is looking for a Head of Compliance and MLRO to join their well established and successful business. Managing a small team and reporting to the CEO as part of a dynamic and collegiate senior management team, this will be a broad and multi-faceted role, with both internal and external Compliance relationships across all aspects of the business. Duties will include:

Oversight for all regulatory requirements across a number of regions and regulations including the London Bullion Market Association, Environment Agency and JMLSG Rules.
Implementing and ongoing compliance programme across both the physical and trading business.
Performing, supporting & enhancing monitoring and surveillance activities.
Managing, supporting and developing workflows and record keeping in respect of staff personal compliance obligations
Managing the efficient operation of compliance frameworks including training, reporting, regulatory change and regulatory policies.
Supporting the CEO and Commercial Director in conducting due diligence of commodities deals including source of product and funds.

You should have gained solid experience in an AML Compliance role ideally with a Commodities House, Proprietary/Institutional Broker or from broader Wholesale Markets. No FCA regulatory knowledge needed but must have a desire to learn and understand new rules and regulations and implement these across an exciting physical trading business.

My client has indicated this role may suit someone in the upward curve of their career and who is hungry to learn a new industry and broadening their regulatory knowledge. Whilst as a Proprietary Metals Trader they are not under the FCA, as they are deemed to be a High Value Trader HMRC require them to have a Head of Compliance who can ensure all processes properly set up & reviewed, whilst the value of their global trades require them to have an MLRO.

So, If you are looking for a role that can utilise your significant AML experience and that will offer you a new and challenging regulatory landscape, then please forward your CV to Gary Collins at gary@symescollinstg.wpengine.com.(including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Symes Collins are acting as an employment agency in relation to this role. 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.

DIRECTOR, COMPLIANCE CONSULTING – FUNDS EXPERIENCE & 1940 ACT/NFA/CFTC KNOWLEDGE REQUIRED

Ref: 3925G2

$170K – $225K + Bonus + Benefits New York City

Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory Consulting team. Acting as the primary compliance resource for retained client relationships, your focus will be on the SEC and NFA regulatory requirements for investment advisers to private funds and separately managed account clients.

Reporting to the MD of the New York Office whilst also partnering with UK team members for work based out of the Group’s London office, responsibilities will include:

Ownership of a portfolio of retained clients and providing ongoing strategic compliance advice and resolutions to complex questions involving more than one regulator
Providing client deliverables in a timely manner, including quarterly monitoring reviews and reports

Setting up the compliance infrastructure for clients, including policies and procedures and monitoring programs
Registering firms with the SEC and CFTC/NFA
Drafting and submitting annual and quarterly filings including Form ADV, Form PF, CPO-PQR and CTA-PR
Assisting with annual compliance reviews and regulatory mock audits
Performing forensic testing – electronic communications, trading, social media, etc.

The successful candidate must have at least 5 years’ experience gained within a similar compliance consultancy/law firm, an in-house role with an asset manager or else with a Regulator, including experience of the private fund space (hedge, private equity, real estate, etc). You must also have both a working knowledge of the Investment Advisers Act of 1940 and regulation relevant to investment advisers, as well as knowledge of the NFA rules and CFTC regulations relevant to investment managers.

This is a fantastic opportunity to join an independent compliance consultancy that has grown extensively and organically over the past 2 decades and who continues to add the top compliance talent to their ranks.

So, if you have an interest in working with clients regulated in multiple jurisdictions and believe that you have the regulatory knowledge and client facing skills to be a successful Compliance Consultant then please send your details to Gary Collins gary@symescollinstg.wpengine.com (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

LAW FIRM SENIOR AML MANAGER – LEGAL SECTOR AML EXPERIENCE (INCLUDING SANCTIONS) REQUIRED

LAW FIRM SENIOR AML MANAGER – LEGAL SECTOR AML EXPERIENCE (INCLUDING SANCTIONS) REQUIRED

Ref: 3967D

£100K -£110K + Benefits Hybrid (City of London)

Our client, a well-known Law Firm, seeks a new Manager to work on AML issues but also provide advice on a range of other risk management issues which affect the business and to provide technical leadership to the whole team on financial crime compliance matters.

Liaise with and advise fee-earners (including at Partner level) on their financial crime compliance obligations.
Leading sound and compliant decision making by exercising effective oversight and management to ensure that the firm’s policies and procedures (in all of the jurisdictions where the firm has a presence) are adhered to
Be the main point of contact for the New Business Intake team for any escalated queries relating to AML and sanctions compliance.
Advising on source of wealth and funds due diligence.
Ensuring that the NBI team conducts thorough sanctions screening and advise the Head of Compliance on any sanctions issues arising.
Assist the Head of Compliance in devising the firm’s anti-money laundering (AML) and counter-terrorist (CTF) and sanctions policies and procedures, revision and implementation of the same.
Assist the Head of Compliance with dealing with queries from regulators and auditors.
Drafting suspicious activity reports for submission to the National Crime Agency (UK) and other equivalent organisations
Demonstrate leadership in respect of risk management awareness, conduct and behaviours and assist the Head of Compliance with embedding a positive culture of compliance across the business.

You should have solid AML & CDD knowledge especially around Sanctions from a similar Law Firm and should either be legally fully qualified, or else have good qualifications with at least 5 years relevant experience from within Law firms.

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including a contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

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

PRE MARKET REG AFFAIRS MANAGER – MEDICAL DEVICE REG AFFAIRS EXPERIENCE INC FDA & 510K SUBMISSIONS EXPERIENCE REQUIRED

Ref: 3947D2

$150,000- $160,000 Fully Remote

Our client, a leading specialist manufacturer, seeks a Pre Market Regulatory Affairs Manager to beresponsible for determining regulatory requirements that affect the company and its products and for the process of preparing submissions to US and international regulatory agencies. The Regulatory Affairs Manager is the liaison for communication with regulatory agencies and regulatory agency inspections. This position is responsible for initiating and supporting quality systems activities in all aspects of the business, including identification and implementation of continuous process improvement activities. Managing a small team, responsibilities include;

Regulatory Submissions
Regulatory Support
International Regulatory Affairs
Regulatory Liaison
Labeling
Collaboration & Integration
Other duties and projects, as assigned.
Manage and provide leadership to regulatory specialists at varying levels.

You should have a Bachelor’s Degree in Engineering or Science with 6-12 years of experience in Regulatory Affairs with strong medical product development, preferably with active medical devices and some staff management experience. You must also have strong experience with FDA device regulations and 510K submissions in North America and preferably EU/Asia too.

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (Including a contact number & email) however please note we cannot reply to all applications, so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

MLRO – SPANISH PAYMENT SERVICES EXPERIENCE REQUIRED

Ref: 3943U

€60K-€80K + Bonus & Benefits Madrid

Our client, an international payment services company, are seeking an MLRO for their newly authorised Spanish branch. Working with the separate Head of Compliance, duties will include;

Review and ensure that the procedures and standards in place are followed by the Company in order to be in line with regulatory requirements.
Ensure that adequate management and control is exercised to verify the effectiveness of the procedures followed with regards to clients’ identification.
Ensure that any weaknesses and deficiencies regarding the anti-money laundering procedures followed by the Company are notified to Senior Management providing any suggestions of improvement and ensure that relevant remedial actions are taken.
Receive and review any report on cash transactions and suspicion on money laundering activities which are submitted by the employees of the Company and take any required action.
Prepare and submit any reports for suspicious transactions to the relevant regulator.
Cooperate with the regulator when necessary, if requested.
Respond to all requests and queries from the Regulators and provide all requested information.
Arrange for training to be offered to the employees of the Company in relation to money laundering and terrorist financing and communicate with them regarding any relevant matters.
Prepare and submit to the Board of Directors at least on an annual basis a report in order to provide information in relation to the money laundering and terrorist financing preventive issues pertaining to the year under review.

You should have previous senior AML/Financial Crime (preferably as the MLRO or Deputy MLRO) with experience in Payments Services in Spain, as well as a very good command of English & fluent Spanish. Great opportunity to set up and run your own department.

Please send your CV IN ENGLISH to info@compliancerecruitment.es (including a contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).