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- Tasks: Lead compliance for an International Retail Bank, ensuring regulatory adherence and a strong compliance culture.
- Company: Join a dynamic International Retail Bank committed to integrity and customer trust.
- Benefits: Enjoy hybrid working options and the chance to shape compliance practices.
- Why this job: Make a real impact in compliance while working with senior management and regulators.
- Qualifications: 10+ years in compliance with SMF16 experience and strong UK regulatory knowledge required.
- Other info: Opportunity to fulfil statutory duties and lead compliance training initiatives.
The predicted salary is between 72000 - 108000 £ per year.
Location: London, UK – Hybrid Working
Role Overview
To lead and manage compliance across this International Retail Bank, ensuring alignment with strategic objectives and full adherence to regulatory and statutory obligations. This includes fulfilling the SMF16 (Compliance Oversight) role and promoting a strong compliance culture throughout the organisation.
Key Responsibilities
- Oversee and implement the Bank’s Compliance Framework to meet all regulatory requirements.
- Ensure adherence to the Banking: Conduct of Business Sourcebook and UK Corporate Governance Code (as applicable).
- Provide compliance oversight and guidance to senior management, keeping them informed of regulatory developments.
- Monitor legal and regulatory compliance via a robust, risk-based monitoring plan.
- Act as a key liaison with regulators and manage regulatory reporting.
- Fulfil statutory duties of Head of Compliance, including the Data Protection Officer role where required.
- Lead compliance training, maintain key compliance registers, and support internal staff in understanding regulatory obligations.
- Ensure the Bank's Complaints Procedures are followed and reported correctly.
- Manage the Compliance function and support broader business integrity and customer trust.
Experience and Knowledge
- Minimum 10 years of experience in areas of compliance holding SMF16
- Strong knowledge of UK regulatory requirements and financial services compliance.
- Familiar with banking products, services, and procedures.
- Adheres to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - SMF 16
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in the SMF16 role. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in compliance.
✨Tip Number 2
Stay updated on UK regulatory changes and financial services compliance by following relevant news sources and regulatory bodies. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare to discuss specific examples of how you've implemented compliance frameworks in previous roles. Highlight your leadership skills and ability to foster a compliance culture within an organisation.
✨Tip Number 4
Research StudySmarter's values and compliance initiatives. Tailor your discussions during interviews to show how your experience aligns with our mission and how you can contribute to enhancing our compliance culture.
We think you need these skills to ace Head of Compliance - SMF 16
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive experience in compliance, particularly your familiarity with UK regulatory requirements and financial services. Use specific examples that demonstrate your ability to fulfil the SMF16 role.
Craft a Compelling Cover Letter: In your cover letter, emphasise your leadership skills and your commitment to promoting a strong compliance culture. Mention how your previous roles have prepared you for overseeing compliance frameworks and liaising with regulators.
Highlight Relevant Experience: Clearly outline your 10+ years of experience in compliance, focusing on your knowledge of banking products and services. Include any specific achievements or projects that showcase your ability to manage compliance effectively.
Showcase Your Understanding of Regulations: Demonstrate your understanding of the Banking: Conduct of Business Sourcebook and the UK Corporate Governance Code. Mention any relevant training or certifications that support your expertise in these areas.
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you have a solid understanding of UK regulatory requirements and the Banking: Conduct of Business Sourcebook. Be prepared to discuss how these regulations impact compliance strategies and how you've navigated them in your previous roles.
✨Demonstrate Leadership Skills
As the Head of Compliance, you'll need to showcase your leadership abilities. Prepare examples of how you've led compliance teams, managed training initiatives, and fostered a strong compliance culture within an organisation.
✨Showcase Your Communication Skills
You'll be liaising with senior management and regulators, so it's crucial to demonstrate your communication skills. Practice articulating complex compliance issues clearly and concisely, and be ready to explain how you've kept stakeholders informed about regulatory developments.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think of specific instances where you've had to manage compliance risks or handle regulatory challenges, and be ready to discuss your thought process and outcomes.
