ETRA Talent
Head of Compliance & MLRO
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Head of Compliance & MLRO / DPO
SMF16 & SMF17 | Banking
We are working with a UK Banking Group that is looking to appoint a high-calibre Compliance professional ready to take the next step in their career and move into their first Head of Compliance position.
This is an excellent opportunity for an experienced Senior Compliance Manager, Deputy Head of Compliance, Compliance Director or experienced MLRO who is ready to take on broader responsibility, greater senior stakeholder exposure and a formal leadership position across Compliance, Financial Crime and AML.
The successful candidate will work closely with the CEO, Board, Risk Committee and senior management, providing independent regulatory oversight and playing a key role in shaping and developing the firm's Compliance and Financial Crime framework.
This is a highly visible, hands-on leadership opportunity where you will have the opportunity to build on your existing experience and step into a role with significant regulatory responsibility and influence.
Key Responsibilities
- Take ownership of the firm's Compliance, Financial Crime and AML frameworks.
- Work closely with the CEO, Board and Risk Committee on regulatory and compliance matters.
- Assume responsibility for the SMF16 Compliance Oversight and SMF17 MLRO functions, subject to FCA approval.
- Develop and oversee AML/CTF programmes, including CDD, EDD, transaction monitoring, sanctions and SAR reporting.
- Provide regulatory advice to senior management and the Board on regulatory developments and business initiatives.
- Lead regulatory horizon scanning and assess the impact of regulatory change on the business.
- Develop and maintain the Compliance Monitoring Plan.
- Oversee financial crime risk assessments and the effectiveness of associated controls.
- Take responsibility for the organisation's Data Protection framework and UK GDPR compliance.
- Oversee DPIAs, data subject rights requests, data breaches and third-party data processors.
- Prepare and present Compliance, AML, Financial Crime and Data Protection reports to senior management, the Risk Committee and Board.
- Prepare the annual MLRO report and relevant regulatory reporting.
- Support the organisation's SMCR framework and Senior Manager Conduct Rules.
- Lead and develop the Compliance function, helping to embed a strong culture of regulatory compliance and financial crime risk management.
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Who We're Looking For
This role would suit an ambitious Compliance professional who is ready to step up into their first Head of Compliance position.
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You may currently be working as a:
- Senior Compliance Manager
- Deputy Head of Compliance
- Compliance Director
- Senior Compliance Officer
- MLRO / Deputy MLRO
- Financial Crime Compliance professional with broad regulatory experience
You should have:
- Strong experience across Compliance, AML and Financial Crime Risk Management within UK banking or financial services.
- A solid understanding of FCA, PRA, AML/CTF, UK GDPR and SMCR requirements.
- Experience engaging with regulators and supporting or managing regulatory reviews and inspections.
- The confidence to work with senior stakeholders and provide credible regulatory challenge.
- Strong analytical, communication and stakeholder management skills.
- The ambition and capability to take ownership of a broader Compliance function and develop into a senior regulatory leader.
Previous experience holding SMF16 and SMF17 is advantageous but is not essential, provided you have the relevant experience and are capable of obtaining the necessary FCA approvals. Experience within Private Banking, Correspondent Banking or Trade Finance Compliance would be beneficial.
Professional qualifications such as CAMS, ICA or equivalent are desirable. Experience or qualifications in Data Protection would also be advantageous.
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