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.
Key responsibilities include:
- 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
- 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.
#J-18808-Ljbffr
Head of Legal & Compliance in London 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.
