Head of Compliance

THE COMPANY:

We are delighted to be working with a great client who specialise in corporate banking, with a global presence.  They are looking for a Head of Compliance; this is an SMF16/17 role managing a small team.

THE RESPONSIBILITIES:

• Hold dual regulatory responsibility as SMF16 and SMF17, providing strategic leadership of the bank’s Compliance and Financial Crime functions across four core business lines: Trade Finance, Treasury Services, Private Banking, and Structured Property Finance.
• Serve as the designated Data Protection Officer (DPO), acting as the main point of contact with the ICO, overseeing data protection governance, and ensuring full compliance with UK GDPR and DPA 2018.
• Lead data protection risk management, including the review and approval of Data Protection Impact Assessments (DPIAs), and coordinate the handling of DSARs in liaison with legal counsel
• Oversee the bank’s breach notification process, ensuring timely and compliant reporting of personal data breaches to the ICO.
• Direct the first and second lines of defence for Compliance, covering advisory, monitoring, thematic reviews, and the development of risk-based policies and procedures.
• Act as the principal liaison with the FCA, PRA, and NCA, managing regulatory engagement, supervisory communications, and inspection readiness.
• Advise the Board and Executive Committee on regulatory and conduct risk matters, supporting strategic decision-making and change initiatives.
• Design and deliver the annual Compliance Monitoring Plan and manage the bank’s Compliance and Financial Crime Risk Appetite Statements.
• Oversee all AML/CTF governance, including transaction monitoring, sanctions/PEP screening, SAR reporting, and customer risk assessments.
• Drive regulatory change implementation across the business, including SMCR, Consumer Duty, and evolving data protection requirements.
• Prepare and present comprehensive reports to the Board, Executive Committee, and Risk Committee, including the Annual MLRO Report and thematic MI.
• Promote a strong culture of compliance and ethical conduct across the organisation through training, leadership visibility, and tone-from-the-top messaging.
• Lead and mentor the Compliance team and provide cross-functional oversight to ensure alignment of compliance priorities across business units.
• Oversee the firm’s SMCR framework, including Senior Manager responsibility mapping and fitness & propriety assessments.

EXPERIENCE REQUIRED:

• Must be able to work 5 days a week in the office
• Previous experience in an SMF16 / SMF17 role within a similar firm
• Strong analytical skills, ability to assess critically and excellent report writing skills
• Good knowledge of the general regulatory environment and wider economic and political issues

For further information please contact Hannah Tabatabai