Head of Compliance – Policy and Regulatory Liaison

Overview

In this role, you will lead the compliance framework to ensure it is robust and aligned with risk and group policies. You will own and refresh policies, implement measurable controls, and drive the annual compliance effectiveness reporting. You will oversee regulatory change and horizon scanning in the second line, communicating key regulatory matters to stakeholders. You will provide strategic leadership and senior-second line oversight to ensure adherence to regulatory objectives, shaping the compliance function’s impact across the business.

Responsibilities

• Manage regulator relationships as the primary contact
• Support EXCO and Board with regulatory engagement insights and high-quality briefing materials
• Create and lead the 2LoD capability to interpret changes and guide strategic responses
• Attend governance committees and forums as main compliance attendee or delegated by SMF16
• Own the broader Compliance framework within the Operational Risk context
• Build and lead a high-performing compliance team with clear accountabilities
• Partner with business leaders to identify regulatory risks and opportunities
• Act as SME on regulatory developments and their strategic implications

Key requirements

• 10+ years in Compliance roles
• Strong people leadership and team development experience
• Proven ability to build and maintain regulator and external stakeholder relationships
• Excellent knowledge of current and emerging regulatory issues in investment, wealth management, or broader financial services
• Exceptional stakeholder management and influencing skills
• Confident communicator with the ability to challenge and influence at all levels

• leadership
• stakeholder management
• communication
• regulatory knowledge
• regulatory change management
• horizon scanning

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