Head of Compliance

  • Location:

    City of London, London

  • Sector:


  • Job type:


  • Salary:

    £100000 - £140000 per annum

  • Contact:

    Matthew Pollard

  • Job ref:


  • Published:

    11 months ago

  • Expiry date:


  • Start date:


A boutique banking group is looking for someone to come in and head up the compliance function for their futures business here in London but also get involved with wider compliance strategy within the group as the look to continue to grow their business.

Responsibilities will include

  • Day to day compliance oversight, systems and controls
  • Management of the compliance framework and the SMCR regulatory approval process
  • Undertake regulatory risk assessments to identify areas of weakness and areas for improvement
  • Provide regulatory advice to the board and senior stakeholders
  • Keeping up to date with regulatory changes
  • Board reporting and attending committee meetings
  • Enhance the Risk Framework and Compliance Monitoring plan
  • Develop a robust regulatory training programme for staff
  • Embed core values of culture and conduct risk
  • Regulatory liaison with the PRA and FCA

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