Head of Compliance

Head of Compliance – London Branch

Salary - £130K - £150K 

Location: London
Role Type: Full-time, Senior Leadership Position

Our client is seeking an experienced Head of Compliance to lead, develop and embed the compliance framework within the London Branch. This is a senior role responsible for ensuring the Branch meets all UK regulatory and legal requirements, aligns with Head Office policies, and maintains a strong culture of governance, conduct and integrity.

Key Responsibilities

• Develop, implement and maintain compliance, conduct and anti-bribery and corruption (ABC) policies, procedures and monitoring frameworks.
• Communicate policies and regulatory changes across the Branch and with Head Office.
• Manage requests for policy exceptions and support the definition of the Branch’s compliance risk appetite.
• Oversee First Line of Defence and outsourced activities, monitoring compliance with UK regulations and branch policies.
• Conduct regular compliance risk and control assessments and recommend improvements.
• Provide Management and Head Office with timely reporting on regulatory, conduct and ABC risks, including conflicts, gifts, complaints and policy breaches.
• Keep the Branch informed of legal and regulatory developments and advise on required actions.
• Provide expert advice and deliver training on compliance, conduct and SM&CR requirements.
• Act as the main point of contact for regulators, managing regulatory requests, inspections and follow-up actions.
• Ensure timely and accurate regulatory reporting and support Management with legal cases when needed.

Requirements

• Extensive senior-level experience in UK regulatory compliance within financial services.
• Strong knowledge of FCA/PRA requirements, conduct risk frameworks and ABC regulations.
• Proven leadership within a second-line function and experience engaging with regulators.
• Excellent communication skills and the ability to influence senior stakeholders.
• Strong analytical and risk assessment capabilities.