Head Of Legal And Compliance

LJ Recruitment; Harrow; On-site; GBP 125,000 - 150,000; Full time

Job summary

A financial institution in West London seeks a Head of Legal and Compliance for a senior management role. This position involves overseeing regulatory compliance, leading the Legal and Compliance department, and engaging with executives and board members. Candidates should possess a recognized degree, extensive experience in compliance or legal roles, and a strong understanding of UK financial regulations. Join a dynamic team and impact the institution's regulatory strategy significantly.

Qualifications

• Extensive experience in senior compliance/legal roles within the financial sector.
• Proven experience managing regulatory relationships (FCA, PRA).
• In-depth knowledge of UK financial regulatory frameworks.

Responsibilities

• Oversee compliance policies and procedures.
• Manage relationships with regulators and internal governance bodies.
• Chair the Legal & Compliance Committee.

Skills

Leadership

Interpersonal skills

Analytical thinking

Detail-oriented

Resilience

Education

Recognised diploma and/or degree

Job description

Job Title: Head of Legal and Compliance

Location: West London

Job Type: Permanent | Full-Time | Fully Office-Based

Department: Legal and Compliance

Level: Senior Management Function (SMF16 & SMF17)

Reports to: Chief Executive Officer

Direct Reports

• Deputy Managers
• Regulatory Compliance & Data Protection Officer
• Head of Financial Crime Operations (functional reporting)

About the Role

A high-profile opportunity has arisen for a Head of Legal and Compliance to join a dynamic financial institution in West London. This senior leadership role is critical to ensuring regulatory compliance and maintaining robust legal oversight across the organisation. As an SMF16 (Compliance Oversight Function) and SMF17 (Money Laundering Reporting Officer) role, this position demands a confident, experienced professional ready to lead the Legal and Compliance department and work closely with Executive and Board-level stakeholders.

Key Responsibilities

Compliance and Financial Crime

• Champion a strong compliance culture across the organisation.
• Create, review, and update compliance policies and procedures in line with regulatory expectations.
• Lead compliance training, horizon scanning, and regulatory mapping across departments.
• Oversee policies related to KYC, AML, Sanctions, ABC, Fraud, and Financial Crime risk.
• Develop and manage a risk-based Compliance Monitoring Plan (CMP).
• Ensure regulatory reporting of KRIs and KPIs to internal governance bodies.
• Liaise with regulators and manage the bank's relationship with the FCA/PRA.
• Oversight of frauds, legal/criminal actions, and internal escalation processes.
• Ensure all marketing and product materials comply with relevant regulations.
• Drive performance accountability and competency development within the Legal & Compliance function.

Legal Oversight

• Review legal agreements and contracts.
• Provide legal advice via internal and external counsel.
• Manage litigation and relationships with the bank's panel of solicitors.

Governance and Senior Manager Functions

• Maintain and update the Management Responsibilities Map.
• Oversee the organisation's compliance with all applicable UK regulations.
• Lead on policies and procedures countering financial crime risks.
• Ensure compliance with Conduct Rules including training and reporting obligations.

Committee Involvement

• Chair of the Legal & Compliance Committee
• Member of key Management Committees including MANCO and Risk
• Regular invitee to the Board, Board Risk Committee, and Board Audit Committee

Candidate Profile

Required Qualifications & Experience

• A recognised diploma and/or degree is essential.
• Extensive experience in senior compliance/legal roles within the financial sector.
• Proven experience managing regulatory relationships (FCA, PRA).
• In-depth knowledge of UK financial regulatory frameworks and supervisory expectations.
• Experience overseeing Financial Crime, AML, KYC, Sanctions, and Fraud frameworks.

Key Skills & Competencies

• Strong leadership and people management capabilities.
• Excellent interpersonal and communication skills at all levels.
• Highly analytical, detail-oriented, and decisive.
• Resilient with the energy and drive to succeed in a demanding environment.
• Effective under pressure with a strategic mindset and results-driven approach.

Why Join?

This is a rare and exciting opportunity to step into a senior leadership position, shape regulatory strategy, and make a lasting impact within a well-established institution. You'll work alongside experienced professionals at the executive and board level, providing you with high visibility and career progression potential.