Head of Compliance (SMF 16) Investment Banking

City of London Permanent
  • Head of Compliance
  • investment banking experience

About Our Client

My client is a UK banking subsidiary for a international banking group, the UK business is 70 heads and is seeking an Investment Banking Head of Compliance to report into the CEO.

Job Description

Builds relationships with relevant statutory regulatory bodies as the SMF 16 e.g., FCA, PRA, Bank of England

* Maintains in depth knowledge of current UK regulation and legislation including, amongst others, MiFID, MiFIR, and EU cross-border solicitation rules

* Provide relevant and timely reporting to committees.

* Maintains independence regarding managing conduct and compliance within the FR UK Entities.

* Proactively implements conduct and compliance policies and processes, in line with the Groups risk appetite

The Successful Applicant

Experience in the UK in a senior compliance role in investment banking, ideally as an SMF 16

Extensive experience with the UK regulator, legal and conduct regimes applying to corporate and institutional banking and securities firms

Experience leading a team of compliance professionals

Experience engaging at a senior management/ExCo level

Excellent communication skills and experience engaging with the UK regulators

Some experience of Data Protection will be helpful

Ability to do a hands on role as well as be involved with strategic board level discussions.

What's on Offer

competitive package, newly created role, great working culture.

Sumrana Saleem
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Job summary

CFO & Financial Management
CFO & Financial Management Subsector
Financial Services
City of London
Contract type
Consultant name
Sumrana Saleem
Job reference

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