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- Tasks: Lead compliance for an International Retail Bank, ensuring regulatory alignment and a strong compliance culture.
- Company: Join a dynamic International Retail Bank committed to integrity and customer trust.
- Benefits: Enjoy hybrid working options and a supportive work environment.
- Why this job: Make a real impact on compliance culture while working with senior management and regulators.
- Qualifications: 10+ years in compliance with strong knowledge of UK regulations and financial services.
- Other info: Fulfil the SMF16 role and act as Data Protection Officer when needed.
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 employer: Broadgate
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 with SMF16 roles. 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 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 in previous roles.
✨Tip Number 4
Research StudySmarter’s values and compliance initiatives. Tailor your discussions to show how your experience aligns with our mission 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
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly any roles where you held the SMF16 position. Use specific examples that demonstrate your knowledge of UK regulatory requirements and your ability to manage compliance frameworks.
Craft a Strong Cover Letter: In your cover letter, express your passion for compliance and how your background aligns with the key responsibilities outlined in the job description. Mention your experience in liaising with regulators and your approach to fostering a strong compliance culture.
Highlight Leadership Skills: Since this role involves managing the Compliance function, emphasise your leadership experience. Provide examples of how you've led teams or initiatives in compliance, and how you've supported staff in understanding regulatory obligations.
Showcase Continuous Learning: Demonstrate your commitment to staying updated on regulatory developments. Mention any relevant training, certifications, or professional memberships that showcase your dedication to compliance and ethical standards in the financial services sector.
How to prepare for a job interview at Broadgate
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of UK regulatory requirements and the Banking: Conduct of Business Sourcebook. Familiarise yourself with recent changes in regulations that may impact the role, as this will demonstrate your commitment to compliance and your proactive approach.
✨Showcase Your Leadership Skills
As the Head of Compliance, you'll be leading a team and influencing senior management. Prepare examples of how you've successfully led compliance initiatives in the past, highlighting your ability to foster a strong compliance culture within an organisation.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about challenges you've faced in previous roles and how you navigated them, particularly in relation to regulatory reporting and compliance oversight.
✨Demonstrate Your Communication Skills
Effective communication is key in this role, especially when liaising with regulators and training staff. Be ready to discuss how you've communicated complex compliance issues to non-compliance professionals and how you ensure everyone understands their regulatory obligations.
