Reference: BH-127205Head of Compliance – Policy and Regulatory LiaisonYou will be responsible for ensuring the Compliance framework is robust and joined up, taking account of the wider risk, financial crime and broader group policies.
All the relevant skills, qualifications and experience that a successful applicant will need are listed in the following description.
You will take ownership of the Compliance policies, ensure they remain up to date and fit for purpose, with measurable controls in place.
You will lead the annual Compliance effectiveness reporting requirements on behalf of the SMF16.In addition, you will oversee the regulatory change and horizon scanning activity in the second line, communicating with stakeholders across the business and beyond on key regulatory matters.
In this position you will provide strategic leadership and critical second-line engagement and oversight of the business to ensure compliance with key regulatory objectives.
Some Key ResponsibilitiesLead on the management of the relationship with the regulator, as a primary point of contactSupport the EXCO and Board with timely information and insights into the recent regulatory engagement, working with the wider Compliance team to deliver high-quality packs and pre-briefings to support meetings with the FCA.Create and lead the 2LoD capability to interpret proposed regulatory changes and support the business to develop appropriate strategic responses.
Attend various governance committees and forum as the main compliance attendee, either as invitee or through delegation from the SMF16Ownership of the broader Compliance framework, taking a lead on how this fits within the wider Operational Risk framework and ensuring the Compliance framework remains coherent.
Build a high-performing team with clear accountabilities and service delivery standards.
Partner with business leaders to identify emerging regulatory risks and opportunities.
Act as a subject matter expert on regulatory developments and their broader strategic implications.
Experience10+ Years experience in Compliance rolesExcellent people leadership skills, with experience managing and developing a teamStrong track record of building and maintaining relationships with regulators, policymakers, industry bodies, and other external stakeholders.
Excellent knowledge of current and emerging regulatory issues impacting investment, wealth management, or broader financial services markets.
Exceptional stakeholder management skills with the ability to build credibility and influence at all levels of the organisation. xohmjla Confident communicator capable of constructively challenging and influencing stakeholders.
Head of Compliance - Policy and Regulatory Liaison in Vauxhall employer: Broadgate Search
As a leading financial technology and information services business, we pride ourselves on fostering a dynamic work culture that encourages innovation and collaboration. Our employees benefit from comprehensive professional development opportunities, competitive compensation packages, and the chance to work with top-tier clients in the financial services sector. Located in a vibrant area, we offer a stimulating environment where your contributions directly impact our growth and success.
