Head of Legal & Compliance

Overview

In this role you will lead the Legal & Compliance function at the London branch, ensuring robust policy, control, and governance frameworks. You will provide strategic oversight on regulatory obligations and foster a strong risk and compliance culture across the organization. You will work with senior stakeholders to address regulatory developments and risk themes, shaping the bank’s compliance posture and governance. This is an opportunity to influence regulatory strategy and risk management at an established financial institution.

Responsibilities

• Lead the Bank’s Legal & Compliance function
• Maintain compliance with FCA and PRA regulations
• Develop and enhance compliance policies, procedures and controls
• Conduct risk-based compliance monitoring and assurance activities
• Identify regulatory and compliance risks and escalate to senior management
• Act as the SMF16 Compliance Oversight Function holder
• Provide guidance on legal and regulatory developments impacting operations

Key requirements

• 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

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