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- Tasks: Lead legal and compliance efforts, ensuring adherence to UK regulations and managing risk frameworks.
- Company: Established international bank with a strong commitment to compliance and governance.
- Benefits: Competitive salary, leadership role, and the chance to shape compliance culture.
- Why this job: Make a significant impact on regulatory compliance and influence at the executive level.
- Qualifications: Extensive experience in legal and compliance roles within retail banking.
- Other info: Opportunity for career advancement in a dynamic and supportive environment.
The predicted salary is between 72000 - 108000 £ per year.
An established international bank is seeking an experienced Head of Legal & Compliance to lead its UK operations. This senior management function reports directly to the CEO and plays a critical role in ensuring the firm’s adherence to UK regulatory requirements. The role offers the opportunity to shape compliance culture, oversee legal matters, and provide strategic input at executive and board level.
Key Responsibilities
- Oversee regulatory compliance, AML, sanctions, ABC, fraud and financial crime frameworks.
- Deliver the Compliance Monitoring Plan and report key risk indicators to senior management and the Board.
- Manage interactions with regulators (FCA, PRA) and internal/external stakeholders.
- Oversee the preparation of MLRO reports and enterprise-wide risk assessments.
- Lead compliance training and competency programmes across departments.
- Provide legal advice and oversight on contracts, litigation, and governance matters.
- Manage relationships with external legal counsel and ensure effective resolution of legal matters.
Qualifications
- Significant experience in senior legal and compliance roles within retail banking.
- Strong knowledge of UK regulatory frameworks (FCA/PRA) and expectations under SMF16/17.
- Proven leadership skills with experience managing multi-disciplinary compliance and legal teams.
Head of Legal, Compliance and MLRO (UK entity & SMF 17/16) employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Legal, Compliance and MLRO (UK entity & SMF 17/16)
✨Tip Number 1
Network like a pro! Reach out to your connections in the banking and compliance sectors. Attend industry events or webinars where you can meet potential employers and showcase your expertise.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK regulatory frameworks. Be ready to discuss how you've navigated compliance challenges in the past and how you can bring that experience to the role.
✨Tip Number 3
Showcase your leadership skills! Think of examples where you've led teams or projects successfully. This is crucial for a senior role like Head of Legal & Compliance, so make sure to highlight these experiences.
✨Tip Number 4
Don't forget to apply through our website! We want to see your application and help you land that dream job. Plus, it shows you're serious about joining our team.
We think you need these skills to ace Head of Legal, Compliance and MLRO (UK entity & SMF 17/16)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to highlight your experience in legal and compliance roles, especially within retail banking. We want to see how your background aligns with the key responsibilities mentioned in the job description.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this role. Share specific examples of how you've shaped compliance culture or managed regulatory interactions in the past. This is your chance to shine!
Showcase Leadership Skills: Since this is a senior management position, it's crucial to demonstrate your leadership skills. Include instances where you've led teams or projects, particularly in compliance training or managing multi-disciplinary teams.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity. Don’t miss out!
How to prepare for a job interview at Broadgate
✨Know Your Regulations
Make sure you brush up on the UK regulatory frameworks, especially those related to FCA and PRA. Being able to discuss these in detail will show that you’re not just familiar with the rules but also understand their implications for the bank's operations.
✨Showcase Your Leadership Skills
Prepare examples of how you've successfully led compliance and legal teams in the past. Highlight specific challenges you faced and how your leadership made a difference. This will demonstrate your capability to manage multi-disciplinary teams effectively.
✨Understand the Business
Research the bank’s operations and its position within the market. Be ready to discuss how compliance and legal strategies can align with business goals. This shows that you’re not just a compliance expert but also a strategic thinker who can contribute at the executive level.
✨Prepare for Stakeholder Interactions
Think about how you would manage relationships with regulators and internal stakeholders. Prepare to discuss your approach to communication and conflict resolution, as this is crucial for the role. Demonstrating your interpersonal skills will set you apart from other candidates.
