At a Glance
- Tasks: Lead legal and compliance efforts, ensuring adherence to UK regulations and managing risk frameworks.
- Company: Established international bank with a strong focus on compliance and regulatory excellence.
- Benefits: Competitive salary, leadership role, and the chance to shape compliance culture.
- Other info: Opportunity to lead a dynamic team and engage with regulators.
- Why this job: Make a significant impact on compliance strategy and work closely with senior management.
- Qualifications: Extensive experience in legal and compliance roles within retail banking.
The predicted salary is between 63000 - 77000 £ per year.
- Head of Legal & Compliance (SMF16/17)
- 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.
- #J-18808-Ljbffr
Head of Legal, Compliance and MLRO (UK entity & SMF 17/16) employer: Broadgate
As a leading fintech in the cross-border payments sector, we pride ourselves on fostering a dynamic and innovative work environment where compliance is viewed as a vital component of our infrastructure. Our London-based team enjoys a hybrid working model, competitive salary packages, and equity options, alongside opportunities for professional growth and direct collaboration with senior leadership. Join us to make a meaningful impact in a role that empowers you to shape compliance strategies across multiple jurisdictions.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Legal, Compliance and MLRO (UK entity & SMF 17/16)
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
✨Connect on Professional Platforms
Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like Broadgate. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace Head of Legal, Compliance and MLRO (UK entity & SMF 17/16)
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to Broadgate.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on Broadgate's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at Broadgate
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with Broadgate.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at Broadgate will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former Broadgate employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
