At a Glance
- 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.
- Other info: Be part of the Senior Leadership Team and drive change in a supportive environment.
- 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.
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
ETRA Talent is an exceptional employer that fosters a dynamic work culture in the heart of London, offering employees the chance to thrive in a collaborative environment focused on compliance excellence. With a commitment to professional development, we provide ample opportunities for growth and advancement, ensuring our team members are well-equipped to navigate the complexities of financial regulations while contributing to the commercial success of our institutional markets. Join us to be part of a forward-thinking organisation that values innovation and integrity in the financial sector.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance & DPO
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like ETRA Talent looking for candidates who are engaged and informed.
We think you need these skills to ace Head of Compliance & DPO
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at ETRA Talent. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at ETRA Talent
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with ETRA Talent’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
