Head of Compliance – Retail Banking

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £65,000 - £75,000

  • Consultant:

    Kirstie Burn

  • Email:


  • Job ref:


  • Published:

    5 months ago

This individual will be responsible for a Region of the Bank’s coverage in London and the surrounding areas. 
You will be responsible for understanding and assessing any compliance risk for the Bank in this region, 
working closely with the branch manager and the head office in regards to compliance.
Key responsibilities include:
• Manage a team of Compliance professionals
• Support the delivery of the annual Compliance Monitoring Plan
• Oversee and manage branch visits to support the internal processes and systems understand how to manage operations from a risk based perspective
• Monitoring of the Mortgage team including reviews against the T&C guide
• Work closely with the Regional Leadership team to ensure compliance initiatives are driven through to completion
• Undertake monitoring of financial crime processes and policies within the branches where required
• Monitor the gift and entertainment, hospitality and sponsorship and charitable donations
• Monitor the identification, documentation and handling of complaints and provide support and advice to branches and Regional Management
• Produce regular quality MI for onward reporting in the department
• Undertake any compliance activities required for the Bank
The Person 
• Degree qualified preferably with a relevant compliance / industry qualification
• Knowledge of Retail Banking – FCA / PRA experience
• Understanding of how to take a risk based approach
• Enjoy working in a busy environment and be able to prioritise and manage their time well
• Commercially / business oriented
• Customer centric in all compliance activities
• Excellent senior stakeholder management
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.