Head of Compliance - SMF 16

Broadgate; London; Hybrid; GBP 140,000 - 150,000; Full time

Job summary

A leading company in the financial sector is seeking an Associate Compliance and Financial Crime Recruitment Consultant to lead compliance efforts across an International Retail Bank. The role involves ensuring regulatory adherence, managing compliance frameworks, and acting as a liaison with regulatory bodies. Candidates must have extensive experience in compliance, particularly within the UK financial services environment, and hold relevant certifications.

Qualifications

• Minimum 10 years of experience in compliance.
• Strong knowledge of UK regulatory requirements.
• Familiar with banking products and procedures.

Responsibilities

• Oversee and implement the Bank’s Compliance Framework.
• Provide compliance oversight and guidance to senior management.
• Act as a key liaison with regulators.

Skills

Compliance Knowledge

Regulatory Reporting

Risk Management

Leadership

Education

SMF16 Certification

Degree in Finance or Law

Job description

This range is provided by Broadgate. 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 Broadgate

Associate Compliance and Financial Crime Recruitment Consultant

Head of Compliance – SMF 16

Location: London, UK – Hybrid Working

Role Overview

To lead and manage compliance across this International Retail Bank, ensuring alignment with strategic objectives and full adherence to regulatory and statutory obligations. This includes fulfilling the SMF16 (Compliance Oversight) role and promoting a strong compliance culture throughout the organisation.

Key Responsibilities

• Oversee and implement the Bank’s Compliance Framework to meet all regulatory requirements.
• Ensure adherence to the Banking: Conduct of Business Sourcebook and UK Corporate Governance Code (as applicable).
• Provide compliance oversight and guidance to senior management, keeping them informed of regulatory developments.
• Monitor legal and regulatory compliance via a robust, risk-based monitoring plan.
• Act as a key liaison with regulators and manage regulatory reporting.
• Fulfil statutory duties of Head of Compliance, including the Data Protection Officer role where required.
• Lead compliance training, maintain key compliance registers, and support internal staff in understanding regulatory obligations.
• Ensure the Bank's Complaints Procedures are followed and reported correctly.
• Manage the Compliance function and support broader business integrity and customer trust.

Experience and Knowledge

• Minimum 10 years of experience in areas of compliance holding SMF16
• Strong knowledge of UK regulatory requirements and financial services compliance.
• Familiar with banking products, services, and procedures.
• Adheres to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Legal

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