Head of Compliance

  • Job Reference: CJ417
  • Date Posted: 29 August 2018
  • Recruiter: C James Jobs
  • Location: London
  • Salary: £120,000 to £150,000
  • Sector: Legal & Compliance
  • Job Type: Permanent
  • Duration: Permanent
  • Work Hours: Full Time
  • Contact: Kai Mason
  • Email: km@c-james.com
  • Telephone: 02072400760

Job Description

Excellent opportunity with a city based bank where you will take up SMF16/17 functions.


  • Responsible for the Bank's compliance within the UK regulatory system.
  • Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and regulatory requirements.
  • Monitor news of relevant enforcement actions and report to Senior Management. 
  • Ensure responsibilities of SMF16/17 are carried out as required by the FCA.  


  • Proven 5+ years of Senior Level Compliance and AML experience.
  • Understanding of relevant FCA rules, FOS, Data Protection legislation.
  • Anti Financial Crime legislations and JMLSG guidance.
  • FCA approach to supervision.
  • Understanding of how SOCA and other agencies operate.
  • ‘Approved Person’ status. 
  • Compliance/regulatory/legal experience.
  • Financial services experience.
  • Commercial and/or Retail Banking experience.