My Shortlist

Your shortlisted jobs will appear here. To view your shortlist, please login or register

More Jobs Like This
DATE ADDED: Fri 15/05/2020

Associate Compliance Director

London, UK


JOB TYPE: Permanent, FullTime

A large, London-based corporate and fund service business is looking to bring on board an experienced compliance expert from a financial/professional services background for an Associate Compliance Director. Offered on a full-time, permanent basis, the purpose of the Compliance Director role is to provide corporate trust and agency services and SPV administration support.

Main Responsibilities

Some of the key duties of the Associate Compliance Director will include:

  • Acting as the registered Compliance Officer and Money Laundering Reporting Officer
  • Ensuring the company's compliance with relevant laws, regulations and adherence to company policies and procedures
  • Maintaining the local Business Risk Assessment
  • Developing and managing the Compliance Monitoring Plan
  • Maintaining the Risk and Compliance registers
  • Monitoring the local Regulator and other Competent Authorities to identify potential changes to legislation or other regulatory requirements
  • Assisting the MD to liaise with the Regulator and ensure that all interactions are properly documented and retained
  • In conjunction with the MD, maintaining the local Regulatory Mapping Gap Analyses and consider and deal with the impact on Policy and Procedures of any relevant new and/or amended regulations, laws, orders, codes and guidelines
  • Playing an active role in the review, development and maintenance of the Company's policies, procedures and compliance manuals
  • Signing off the adequacy of CDD accompanying new business documentation to include the maintenance of appropriate Compliance records
  • Collating information and assist with the preparation of reports to provide key information to both the board and Group Risk and Compliance on a monthly basis
  • Delivering Compliance training to the UK business including Induction, client take-on and and Anti-Financial Crime training as required
  • Carrying out any relevant function/activity required by the Regional Head of Risk and Compliance or Directors from time to time
  • Assisting with coaching, training, motivating and monitoring the Compliance team, to include assisting in appraisal meetings and in interviewing for new employees where appropriate

Knowledge, Skills and Experience
Applications to this Compliance Director role are invited from Lawyers and Compliance Officers who demonstrate:

  • At least 10 years of financial services experience in a financial institution or banking environment
  • Time spent in a team management or leadership role
  • At least 5 years of direct Compliance experience


In return for hard work and compliance expertise, you can expect a salary of £70,000 - £85,000 per annum, dependent on experience, plus benefits including a company pension scheme.

Apply Now

This is an excellent opportunity to join a large, global provider of fund services as its new Associate Compliance Director. Please apply today to find out more.