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.
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
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.
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Head of Legal & Compliance employer: NACBA
NACBA is an excellent employer located in the heart of London, offering a dynamic work environment that fosters professional growth and development. With a strong focus on regulatory compliance and a supportive team culture, employees benefit from competitive salaries, comprehensive training, and opportunities to engage with senior management. The company's commitment to maintaining high standards in banking ensures that you will be part of a respected institution that values your contributions and encourages career advancement.
