Description

Head of Compliance - Banking

Location: London

Role Type: Full-time, Senior Leadership Position

Our client is seeking an experienced Head of Compliance to lead, develop and embed the firms compliance framework.

This is a senior role responsible for ensuring all UK regulatory and legal requirements and maintains a strong culture of governance, conduct and integrity. The ideal candidate will have held control functions such as SMF16 and/or SMF17 experience within a UK bank.

Key Responsibilities

Develop, implement and maintain compliance, conduct and anti-bribery and corruption (ABC) policies, procedures and monitoring frameworks.

Communicate policies and regulatory changes across the Branch and with Head Office.

Manage requests for policy exceptions and support the definition of the Branch's compliance risk appetite.

Oversee First Line of Defence and outsourced activities, monitoring compliance with UK regulations and branch policies.

Conduct regular compliance risk and control assessments and recommend improvements.

Provide Management and Head Office with timely reporting on regulatory, conduct and ABC risks, including conflicts, gifts, complaints and policy breaches.

Keep the Branch informed of legal and regulatory developments and advise on required actions.

Provide expert advice and deliver training on compliance, conduct and SM&CR requirements.

Act as the main point of contact for regulators, managing regulatory requests, inspections and follow-up actions.

Ensure timely and accurate regulatory reporting and support Management with legal cases when needed.

Requirements

Extensive senior-level experience in UK regulatory compliance within financial services.

Held a compliance control function in current or previous positions

Strong knowledge of FCA/PRA requirements, conduct risk frameworks and ABC regulations.

Proven leadership within a second-line function and experience engaging with regulators.

Excellent communication skills and the ability to influence senior stakeholders.

Strong analytical and risk assessment capabilities.