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- Tasks: Lead compliance and data protection for a dynamic UK-regulated bank.
- Company: Join a forward-thinking bank focused on integrity and customer-centric values.
- Benefits: Enjoy hybrid working, competitive salary, and a better work-life balance.
- Why this job: Shape the compliance agenda while making a real impact in financial services.
- Qualifications: Significant experience in compliance, preferably with SMF16 knowledge and relevant qualifications.
- Other info: Be part of the Senior Leadership Team and drive change in a supportive environment.
The predicted salary is between 84000 - 168000 £ per year.
This range is provided by ETRA Talent. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
Direct message the job poster from ETRA Talent
Recruiter | Ex-Compliance Officer | Helping Risk & Compliance Talent Find the Right Fit | Banking & Financial Services Specialist
Head of Compliance – SMF16 / DPO
Hybrid Working Available – 2/3 Days in the office
Up to £120,000 Base Salary
This is a great opportunity for a senior compliance professional who wants to step away from the hectic pace of city life but still work in a corporate financial services environment. Based in a well-connected Hertfordshire location, it offers a better work-life balance without compromising on career impact.
An exciting opportunity has arisen for a strategic and experienced compliance professional to join a dynamic UK-regulated bank as Head of Compliance . This is a senior leadership role with accountability for the SMF16 (Compliance Oversight) and DPO functions, alongside oversight responsibilities for SMF17 (MLRO) . The position sits on the Senior Management Team and plays a pivotal role in ensuring that the firm’s regulatory obligations and data protection standards are consistently upheld.
Key Responsibilities:
- Lead and manage the Compliance function, ensuring effective adherence to FCA and PRA regulatory frameworks.
- Act as the Bank’s SMF16 and Data Protection Officer (DPO) , providing expert guidance on all aspects of compliance and data privacy.
- Oversight of the SMF17 (MLRO) function, ensuring robust financial crime controls, including AML, CTF, fraud, and ABC measures.
- Provide senior leadership with expert advice and assurance on regulatory compliance, conduct risks, and best market practice.
- Develop, implement and maintain a forward-looking Compliance Monitoring Plan, leading all second-line activity.
- Keep policies, frameworks and procedures aligned with evolving regulatory requirements and risk appetite.
- Oversee the assessment of compliance and financial crime risks for all new products, initiatives, and strategic decisions.
- Coordinate regulatory reporting and communications with the FCA, PRA, NCA and other relevant authorities.
- Deliver bank-wide training on regulatory, conduct and data protection matters.
- Maintain GDPR compliance in line with Article 39 obligations, including staff training, audits, and documentation of data processing activities.
Strategic & Leadership Involvement:
- Play a key role in the Senior Leadership Team, contributing to strategic and operational plans in line with Board objectives.
- Champion a culture of integrity, simplicity, and accountability while reinforcing ethical conduct across the bank.
- Ensure the bank’s operations reflect strong corporate governance, regulatory compliance, and customer-centric values.
What We’re Looking For:
- Significant experience in a senior compliance role within the banking or wider financial services sector. Preferably having held SM16 in a similar environment
- Strong knowledge of UK regulatory frameworks, FCA/PRA conduct rules, SMCR, AML regulations, and GDPR.
- Demonstrable experience engaging with regulators and delivering compliance assurance at Board level.
- A proven track record of managing compliance teams, driving change, and building robust control environments.
- Educated to degree level and/or holding relevant professional qualifications (e.g. ICA, CISI, or legal/compliance certifications).
- Excellent interpersonal and leadership skills, with the ability to influence, challenge and support at senior levels.
This is a rare opportunity to shape and lead the compliance agenda at a forward-thinking bank, helping ensure it continues to operate with integrity, clarity, and confidence.
Seniority level
-
Seniority level
Director
Employment type
-
Employment type
Full-time
Job function
-
Job function
Finance
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Head of Compliance & DPO employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance & DPO
✨Tip Number 1
Network with professionals in the compliance and financial services sectors. Attend industry events or webinars to connect with potential colleagues and leaders who can provide insights into the role and the company culture.
✨Tip Number 2
Familiarise yourself with the latest FCA and PRA regulations, as well as GDPR requirements. Being able to discuss recent changes and their implications during interviews will demonstrate your expertise and commitment to compliance.
✨Tip Number 3
Prepare to showcase your leadership skills by reflecting on past experiences where you successfully managed compliance teams or projects. Be ready to discuss how you drove change and built robust control environments.
✨Tip Number 4
Research the bank's values and strategic objectives. Tailor your discussions to align your vision for compliance with their goals, emphasising how you can contribute to a culture of integrity and accountability.
We think you need these skills to ace Head of Compliance & DPO
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your significant experience in compliance roles, particularly within banking or financial services. Emphasise any relevant qualifications and your familiarity with UK regulatory frameworks.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and data protection. Discuss how your leadership skills and strategic vision align with the role's responsibilities, particularly in managing compliance teams and engaging with regulators.
Showcase Relevant Achievements: Include specific examples of your past achievements in compliance, such as successful implementation of compliance monitoring plans or training programmes. This will demonstrate your capability to lead and manage compliance functions effectively.
Highlight Interpersonal Skills: Given the seniority of the role, it's crucial to showcase your interpersonal and leadership skills. Mention instances where you've influenced senior management or contributed to strategic decisions, reinforcing your ability to champion a culture of integrity and accountability.
How to prepare for a job interview at ETRA Talent
✨Showcase Your Regulatory Knowledge
Make sure to brush up on your knowledge of UK regulatory frameworks, including FCA and PRA conduct rules. Be prepared to discuss how you've applied this knowledge in previous roles, especially in relation to compliance oversight and data protection.
✨Demonstrate Leadership Experience
As a senior role, the interviewers will be keen to hear about your leadership style and experience. Prepare examples of how you've successfully managed compliance teams and driven change within an organisation, highlighting your ability to influence at senior levels.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think of specific instances where you had to navigate complex regulatory challenges and how you ensured adherence to compliance standards.
✨Emphasise Your Strategic Vision
This role requires a strategic mindset. Be ready to discuss your vision for the compliance function and how you would align it with the bank's objectives. Highlight any past experiences where you contributed to strategic planning or operational improvements.
