As The Head of Compliance you will lead the compliance function, shape the compliance strategy, maintain strong oversight frameworks, support senior leaders with regulatory guidance.
Some of the responsibilities
- Provide insight on regulatory risks, emerging trends, and compliance issues
- Lead horizon‑scanning to identify and assess the impact of new and upcoming regulations
- Design and maintain the Compliance Framework
- Oversee the annual Compliance Monitoring Plan
- Act as the primary point of contact for regulators
- Manage regulatory interactions, such as inspections, thematic reviews, and supervisory queries.
- Act as a trusted advisor to the Board and Executive Committees on compliance and regulatory risk
- Lead the Compliance team to maintain a highly skilled, high‑performing function.
Skills and Experience
- Experienced compliance leader within Wealth & Investment Management, or Private Banking
- Proven experience of holding the SMF16
- Strong knowledge of UK/EU regulatory frameworks (FCA Handbook, SYSC, COBS, MiFID II, SMCR)
- Proven experience engaging with regulators
- Strong stakeholder management skills
- Collaborative approach that supports business growth while ensuring strong compliance standards.
