Deputy Head of Compliance

JR United Kingdom; City Of London; On-site; GBP 70,000 - 100,000; Full time

Job summary

A UK-based banking institution is seeking an experienced Deputy Head of Compliance in London. This role is key in ensuring regulatory compliance, developing compliance frameworks, and managing conduct risk. The ideal candidate will have a strong knowledge of FCA and PRA regulations, alongside excellent communication skills and a proactive approach to risk management.

Qualifications

• In-depth knowledge of FCA and PRA regulations and UK data protection laws.
• Experience delivering regulatory and conduct risk training.
• Strong understanding of compliance frameworks in financial services.

Responsibilities

• Maintain understanding of relevant legislation and applicable industry guidance.
• Identify and assess regulatory risks, ensuring controls are in place.
• Produce monthly MI reports related to compliance and conduct risk.

Skills

Communication

Problem Solving

Analytical Approach

Job description

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Deputy Head of Compliance, london (city of london)

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Client:

InterQuest Group

Location:

london (city of london), United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

3

Posted:

16.06.2025

Expiry Date:

31.07.2025

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Job Description:

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.