Head of Legal & Compliance

The Opportunity

As the appointed SMF16, you will be responsible for ensuring robust compliance policies, controls, monitoring and governance processes are in place across the business. Working closely with senior stakeholders, you will provide strategic oversight of regulatory obligations while promoting a strong risk and compliance culture throughout the organisation.

Key responsibilities include:

• Leading the Bank’s Legal & Compliance function.
• Maintaining compliance with FCA and PRA regulations.
• Developing and enhancing compliance policies, procedures and controls.
• Conducting risk-based compliance monitoring and assurance activities.
• Identifying regulatory and compliance risks and escalating key issues to senior management.
• Acting as the SMF16 Compliance Oversight Function holder.
• Providing guidance on legal and regulatory developments impacting the Bank’s operations.

What We’re Looking For

• Proven experience as a Head of Legal & Compliance within a banking environment.
• Previous approval and experience operating as SMF16.
• Strong understanding of Wholesale Banking.
• Experience working with FCA and PRA regulatory frameworks.
• Knowledge of correspondent banking environments.
• Fluency in Mandarin/Chinese.

This is a rare opportunity to join an established banking institution in a highly influential leadership role where you’ll have direct impact on regulatory strategy, governance and risk management.

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