At a Glance
- Tasks: Lead the bank's compliance function and ensure robust policies and governance.
- Company: Established banking institution with a strong focus on compliance and risk management.
- Benefits: Influential leadership role with direct impact on regulatory strategy.
- Other info: Opportunity for significant career growth and influence in a reputable organisation.
- Why this job: Join a dynamic team and shape the future of compliance in banking.
- Qualifications: Proven experience in legal and compliance within banking, fluency in Mandarin preferred.
The predicted salary is between 63000 - 77000 £ per year.
I'm currently partnering with a banking client seeking an experienced Head of Legal & Compliance (SMF16) to lead and oversee the bank's compliance function within its London branch.
The Opportunity
As the appointed SMF16, you will be responsible for ensuring robust compliance policies, controls, monitoring and governance processes are in place across the business.
Working closely with senior stakeholders, you will provide strategic oversight of regulatory obligations while promoting a strong risk and compliance culture throughout the organisation.
- Leading the Bank's Legal & Compliance function.
- Maintaining compliance with FCA and PRA regulations.
- Developing and enhancing compliance policies, procedures and controls.
- Conducting risk-based compliance monitoring and assurance activities.
- Identifying regulatory and compliance risks and escalating key issues to senior management.
- Acting as the SMF16 Compliance Oversight Function holder.
- Providing guidance on legal and regulatory developments impacting the Bank's operations.
What We're Looking For
To be considered for this opportunity, you should have
- Proven experience as a Head of Legal & Compliance within a banking environment.
- Previous approval and experience operating as SMF16.
- Strong understanding of Wholesale Banking.
- Experience working with FCA and PRA regulatory frameworks.
- Knowledge of correspondent banking environments.
- Fluency in Mandarin/Chinese.
This is a rare opportunity to join an established banking institution in a highly influential leadership role where you'll have direct impact on regulatory strategy, governance and risk management.
Huxley, a trading division of SThree Partnership LLP is acting as an Employment Business in relation to this vacancy Registered office 8 Bishopsgate, London, EC2N 4BQ, United Kingdom Partnership Number OC387148 England and Wales
Head of Legal & Compliance employer: Huxley
As an Investment Bank located in the heart of London, we pride ourselves on fostering a dynamic and inclusive work culture that values innovation and collaboration. Our hybrid working model allows for a balanced approach to work-life integration, while our commitment to employee development ensures that you will have ample opportunities for growth and advancement within the organisation. Join us to be part of a forward-thinking team where your expertise in Oracle EPM and ERP will be instrumental in driving operational excellence and shaping the future of finance technology.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Legal & Compliance
✨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.
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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.
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Don’t shy away from reaching out directly to firms like Huxley. 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
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 Huxley.
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 Huxley'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 Huxley
✨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 Huxley.
✨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 Huxley 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 Huxley 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.
