Head of Compliance-Conduct & Regulatory Risk

  • Location


  • Discipline:

    Risk Management

  • Job type:


  • Salary:

    £85,000 - £95,000

  • Consultant:


  • Email:


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  • Published:

    over 2 years ago


Reporting directly to the Head of Conduct, Operational and Regulatory Risk, this role will provide leadership to the 2nd Line Conduct and Regulatory Risk Team encompassing Compliance. The role holder will support both regulatory relations and management of the Senior Management Functions and Certification Regime (SMF&CR) framework.


  • Develop, implement, lead and report on end to end Conduct and Regulatory Risk Frameworks, ensuring that they are fit for purpose for the size, nature and complexity of the Bank and comply with regulatory and legislative requirements (e.g. FCA/PRA Handbook)
  • Direct oversight of the Conduct & Regulatory Team, minimising risks from the effective design, implementation and maintenance of appropriate controls, policies, procedures, monitoring systems and compliance monitoring assessments.
  • Deploy appropriate Conduct/Regulatory Risk Advisory and Oversight mechanisms and tools partnering key business stakeholders to provide proactive advice and challenge to ensure the effective deployment of appropriate controls and processes across the Bank including demonstrating that it acts with integrity in its dealings with customers and the markets it engages in and that Conduct Risk culture is embedded throughout the organisation.
  • Pro-actively oversee the business, evaluate and provide effective integrated assurance to ensure the integrity of policies controls, risk assessments, identification and remediation’s, providing forward looking dashboards and strong qualitative reporting to the Executive Management on current, emerging and thematic risks or issues.
  • Recruit, lead, manage, develop engage and motivate people in line with the Bank Management Charter to ensure they know what is expected of them, maximise their performance and develop their potential.
  • Effectively manage and influence internal and third-party resources and budgets to provide an efficient and proportionate risk-based approach ensuring strong subject matter expertise to advise, challenge and where necessary train/educate at all levels across the organisation.
  • Assist with ad-hoc investigations, external reporting and the regular provision of regulatory horizon scanning and associated impact assessments.
  • Work proactively with the CRO group and Business in establishing and monitoring Compliance across the bank, ensuring the right ‘tone from the top’ is created and cascaded and where change may be required.
  • Deliver one off activities and projects to the outcomes and standards agreed with line manager.

Experience Required

  • Extensive experience in Regulatory, Conduct and Compliance, with significant experience at senior management level within a retail banking or similar regulated environment
  • Extensive experience of leading, motivating and developing people/teams.
  • In depth technical knowledge and practical experience of PRA/FCA requirements and standards
  • Commercial, business focussed with strong judgement and integrity
  • Excellent oral and written communication, facilitation skills and ability to present confidently and to work effectively with staff and management at all levels and to engage and manage stakeholders, developing effective relationships internally and externally.
  • IT literate with good knowledge of Microsoft Office packages, particularly Excel and Word
  • Calm and diplomatic, with strong negotiation and influencing skills with the ability to display a range of influencing styles.
  • Familiar with sophisticated and integrated risk management processes and tools
  • Understand how to control risk and appropriate monitoring systems