Head of Compliance - Policy and Regulatory Liaison

Head of Compliance – Policy and Regulatory Liaison

You will be responsible for ensuring the Compliance framework is robust and joined up, taking account of the wider risk, financial crime and broader group policies. You will take ownership of the Compliance policies, ensure they remain up to date and fit for purpose, with measurable controls in place. You will lead the annual Compliance effectiveness reporting requirements on behalf of the SMF16.

In addition, you will oversee the regulatory change and horizon scanning activity in the second line, communicating with stakeholders across the business and beyond on key regulatory matters.

In this position you will provide strategic leadership and critical second-line engagement and oversight of the business to ensure compliance with key regulatory objectives.

Some Key Responsibilities

• Lead on the management of the relationship with the regulator, as a primary point of contact
• Support the EXCO and Board with timely information and insights into the recent regulatory engagement, working with the wider Compliance team to deliver high-quality packs and pre-briefings to support meetings with the FCA.
• Create and lead the 2LoD capability to interpret proposed regulatory changes and support the business to develop appropriate strategic responses.
• Attend various governance committees and forum as the main compliance attendee, either as invitee or through delegation from the SMF16
• Ownership of the broader Compliance framework, taking a lead on how this fits within the wider Operational Risk framework and ensuring the Compliance framework remains coherent.
• Build a high-performing team with clear accountabilities and service delivery standards.
• Partner with business leaders to identify emerging regulatory risks and opportunities.

• Act as a subject matter expert on regulatory developments and their broader strategic implications.

Experience

• 10+ Years experience in Compliance roles
• Excellent people leadership skills, with experience managing and developing a team
• Strong track record of building and maintaining relationships with regulators, policymakers, industry bodies, and other external stakeholders.
• Excellent knowledge of current and emerging regulatory issues impacting investment, wealth management, or broader financial services markets.
• Exceptional stakeholder management skills with the ability to build credibility and influence at all levels of the organisation.
• Confident communicator capable of constructively challenging and influencing stakeholders.

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