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- Tasks: Lead compliance efforts and ensure regulatory adherence in a dynamic banking environment.
- Company: Join a reputable UK-based banking institution focused on risk management and compliance.
- Benefits: Enjoy competitive pay, professional development opportunities, and a collaborative work culture.
- Why this job: Make a real impact by shaping compliance frameworks and fostering a culture of integrity.
- Qualifications: In-depth knowledge of FCA and PRA regulations; strong communication and analytical skills required.
- Other info: Full-time position with opportunities for growth in the finance sector.
The predicted salary is between 72000 - 108000 £ per year.
This range is provided by InterQuest Group. 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 InterQuest Group
Recruitment Consultant- Risk, Regulation and Compliance
We are seeking an experienced and detail-oriented Deputy Head of Compliance to join a UK-based banking institution. This role plays a key part in ensuring regulatory compliance and effective risk management across the organisation. You will support the ongoing development of compliance frameworks, provide guidance on regulatory requirements, and help maintain a culture of good conduct and data protection.
Key Responsibilities:
- Maintain a strong understanding of relevant legislation, PRA and FCA requirements, and applicable industry guidance within a banking context.
- Identify and assess regulatory risks, ensuring appropriate mitigation controls are in place and effectively maintained.
- Keep the Compliance Risk and Control Self-Assessments (RCSAs) current and comprehensive.
- Monitor and track changes in the regulatory landscape, assessing their impact on the business.
- Support the planning, execution, and documentation of the compliance monitoring programme.
- Implement and oversee conduct risk controls, identifying and addressing emerging issues, and ensuring regular reporting to governance bodies.
- Provide training and expert advice to business teams on conduct risk and regulatory expectations.
- Maintain and enhance the Conduct Risk Framework, aligning it with evolving regulatory and market conditions.
- Regularly review and update compliance-related policies and procedures to ensure they remain effective and relevant.
- Advise business areas on Consumer Duty and Treating Customers Fairly (TCF) obligations, supporting a compliant and customer-centric culture.
- Build strong, collaborative relationships with key stakeholders across the organisation.
- Ensure regulatory responsibilities are clearly communicated and understood by all staff through targeted training and awareness initiatives.
- Produce monthly MI reports and updates related to compliance and conduct risk.
- Serve as a key contact for data protection matters, supporting the Data Protection Officer in maintaining legal compliance.
- Monitor adherence to UK GDPR and related legislation, supporting the implementation of data protection policies.
- Investigate data breaches, ensuring timely and accurate reporting in accordance with internal procedures.
- Deliver periodic data protection training across the business.
Ideal Candidate:
- In-depth knowledge of FCA and PRA regulations, conduct risk, and UK data protection laws.
- Strong understanding of compliance frameworks within the financial services sector.
- Experience in delivering regulatory and conduct risk training.
- Excellent communication skills and the ability to build effective cross-functional relationships.
- A proactive, analytical approach to problem-solving and risk management.
Seniority level
-
Seniority level
Mid-Senior level
Employment type
-
Employment type
Full-time
Job function
-
Job function
Finance
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Deputy Head of Compliance (London) employer: InterQuest Group
Contact Detail:
InterQuest Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Deputy Head of Compliance (London)
✨Tip Number 1
Familiarise yourself with the latest FCA and PRA regulations. Being well-versed in these will not only help you during interviews but also demonstrate your commitment to compliance and risk management.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in banking. Attend industry events or webinars to build connections that could lead to referrals or insider information about the role.
✨Tip Number 3
Prepare to discuss specific examples of how you've implemented compliance frameworks or conducted risk assessments in previous roles. Real-life scenarios can showcase your expertise and problem-solving skills effectively.
✨Tip Number 4
Stay updated on changes in the regulatory landscape by following relevant news sources and publications. This knowledge will be crucial in demonstrating your proactive approach to compliance during discussions with potential employers.
We think you need these skills to ace Deputy Head of Compliance (London)
Some tips for your application 🫡
Understand the Role: Before applying, make sure you thoroughly understand the responsibilities of the Deputy Head of Compliance. Familiarise yourself with FCA and PRA regulations, conduct risk, and data protection laws relevant to the banking sector.
Tailor Your CV: Customise your CV to highlight your experience in compliance frameworks, regulatory training, and risk management. Use specific examples that demonstrate your understanding of compliance within the financial services sector.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your proactive approach to problem-solving. Mention how your skills align with the key responsibilities listed in the job description, such as maintaining compliance frameworks and providing training.
Highlight Relevant Experience: In your application, emphasise any previous roles where you managed compliance risks or developed training programmes. Include metrics or outcomes that illustrate your success in these areas, as this will strengthen your application.
How to prepare for a job interview at InterQuest Group
✨Know Your Regulations
Make sure you have a solid understanding of FCA and PRA regulations, as well as UK data protection laws. Be prepared to discuss how these regulations impact compliance frameworks in the banking sector.
✨Demonstrate Risk Management Skills
Be ready to share examples of how you've identified and mitigated regulatory risks in previous roles. Highlight your proactive approach to problem-solving and risk management.
✨Showcase Communication Abilities
Effective communication is key in this role. Prepare to discuss how you've built strong relationships with stakeholders and delivered training on compliance and conduct risk.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your ability to handle compliance challenges. Think about past experiences where you've had to implement or update compliance policies and how you approached those situations.
