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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 based in the heart of London.
- Benefits: Enjoy hybrid working options and a supportive corporate environment.
- Why this job: Make a real impact on compliance culture while working with senior management and regulators.
- Qualifications: Minimum 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.
Head of Compliance - SMF 16 (City of London) employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance - SMF 16 (City of London)
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in the banking sector. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance best practices. Subscribe to relevant newsletters or follow key regulatory bodies on social media to ensure you’re well-informed and can discuss these topics during interviews.
✨Tip Number 3
Prepare to demonstrate your leadership skills and experience in managing compliance teams. Think of specific examples where you've successfully implemented compliance frameworks or improved compliance culture within an organisation.
✨Tip Number 4
Familiarise yourself with StudySmarter’s values and mission. Be ready to articulate how your experience aligns with our goals and how you can contribute to fostering a strong compliance culture within our organisation.
We think you need these skills to ace Head of Compliance - SMF 16 (City of London)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your extensive experience in compliance, particularly your knowledge of 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 experience in managing compliance frameworks. Discuss how you can promote a strong compliance culture and provide oversight to senior management.
Highlight Relevant Experience: Clearly outline your previous roles related to compliance, especially those where you acted as a liaison with regulators or managed regulatory reporting. This will show your capability to handle the responsibilities of the Head of Compliance.
Showcase Your Knowledge: 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
✨Demonstrate Your Regulatory Knowledge
Make sure to brush up on UK regulatory requirements and financial services compliance. Be prepared to discuss specific regulations and how they apply to the role, as this will show your depth of understanding and readiness for the position.
✨Showcase Your Leadership Skills
As a Head of Compliance, you'll need to lead a team and influence senior management. Prepare examples of how you've successfully managed teams or projects in the past, highlighting your ability to foster a strong compliance culture.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past experiences where you had to navigate complex regulatory challenges and be ready to explain your thought process and outcomes.
✨Ask Insightful Questions
At the end of the interview, have a few thoughtful questions ready about the company's compliance culture or future regulatory challenges. This shows your genuine interest in the role and helps you gauge if the company aligns with your values.
