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Head of Compliance

London, UK | Full Time
14 Days Ago

Job Description

We are searching for a London based Head of Compliance to join our Legal & Compliance team! Group Description: The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which we are subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm’s culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that detect, address and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm’s business strategy and objectives while maintaining a high standard for integrity. Describe the Role: The Head of Compliance is both a strategic thinker and a solutions-oriented leader. You are responsible for ensuring that AllianceBernstein remains current on existing and emerging regulatory compliance requirements in the United Kingdom and assisting with compliance with other applicable European regulations. You are comfortable managing competing priorities and effectively communicating highly technical compliance-related requirements so that a non-compliance professional can understand. You enjoy providing guidance to nuanced circumstances so that our fiduciary responsibility to our clients is met. This is a fast-paced and dynamic environment. To execute your responsibilities, you are comfortable managing competing priorities and providing thoughtful, well-reasoned guidance to nuanced circumstances so that we meet regulatory requirements and our fiduciary responsibility to our clients. Your exceptional, clear, and concise interpersonal communication skills will help you as you collaboratively problem-solve situations to meet the expectations of demanding clients. You will utilize your intellectual curiosity as you keep abreast of all of the regulatory requirements and changes that impact the jurisdictions in which we conduct business. We expect that you will execute your responsibilities efficiently and effectively. You will demonstrate agility in handling a variety of other matters as they arise. The key job responsibilities include, but are not limited to: You are expected to develop a deep understanding of substantive compliance areas including but not limited to: Personal & Corporate Conflicts; Code of Ethics, Gifts, Entertainment and Inducements; ESG; Anti-Money Laundering/Sanctions; Anti-Bribery/Anti-Corruption; Use of non-public information/insider trading; Regulatory Reporting and Filings; Regulatory Exams, Investigations and Audits; Registrations / Individual Licenses; Best Execution; Custody; Investment Management Guidelines; Model Risk; Sales Literature Compliance; Pay to Play; Research; Cyber and Data Privacy; Valuation; Marketing and Sales Practice Reviews. You will primarily oversee and manage the London compliance advice and monitoring programs by working closely with all subject matter experts to ensure that the programs reflect the requirements of the latest regulatory requirements. In addition, you will be responsible for managing various committees including developing the agenda, meeting materials, taking minutes and ensuring follow-up actions are executed. You will be expected to be familiar with global compliance policies, processes, procedures, and controls with an effective and efficient use of technology. What is the professional development value of this role? We will make a strong commitment to development, and give you opportunities to gain visibility, responsibility, and advancement across the firm. Qualifications, Experience, Education: Bachelor's degree (or equivalent) with 7 years of financial services experience Advanced degree: GDL, JD, MBA, or CPA is a plus Strong knowledge and understanding of the financial services industry, the market participants, products and services provided, and an end-to-end understanding of investment transactions Experience in understanding and implementing processes, controls, and/or supervision or compliance activities relating to new/changed financial services regulations - specifically those of the FCA (Financial Conduct Authority) Experience in implementing processes, controls, governance, and/or compliance activities for new/changing business models, services/products, and/or technologies Preferred Qualifications In-house legal or compliance department experience Experience with compliance monitoring and/or investment tools for Investment Advisers Location: City/Country: London/UK We are a leading global investment management firm offering high-quality research and diversified investment services to institutional clients, retail investors, and private-wealth clients in major markets around the globe. With over 4,000 employees across 51 locations operating in 25 countries and jurisdictions, our ambition is simple: to be the most trusted investment firm in the world. We realize that it's our people who give us a competitive advantage and drive success in the market, and our goal is to create an inclusive culture that rewards hard work. Our culture of intellectual curiosity and collaboration creates an environment where you can thrive and do your best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to our clients, we are fully invested in you. If you're ready to challenge your limits and empower your career, join us! People of color, women, and those who identify as LGBTQ people are encouraged to apply. AB does not discriminate against any employee or applicant for employment on the basis of race, color, religion, creed, ancestry, national origin, sex, age, disability, marital status, citizenship status, sexual orientation, gender identity, military or veteran status or any other basis that is prohibited by applicable law. AB’s policies, as well as practices, seek to ensure that employment opportunities are available to all employees and applicants, based solely on job-related criteria. London, UK

Skills for Head of Compliance

The job skills required for Head of Compliance include Regulatory Compliance, Responsibility, Collaboration, Financial services, Products and Services etc. Having related job skills and expertise will give you an advantage when applying to be a Head of Compliance. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Head of Compliance. Select any job title you are interested in and start to search job requirements.

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Career Path for Head of Compliance

The following is the career advancement route for Head of Compliance positions, which can be used as a reference in future career path planning. As a Head of Compliance, it can be promoted into senior positions as a Compliance Manager Senior that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Head of Compliance. You can explore the career advancement for a Head of Compliance below and select your interested title to get hiring information.