Alexander Lloyd
Head of UK Compliance
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UK Head of Compliance
The UK Head of Compliance is a pivotal leadership role, responsible for shaping, driving, and safeguarding the compliance agenda across the UK & Ireland business. This is a high-impact position that ensures the organisation meets all UK regulatory requirements while maintaining strong internal governance, policies, and procedures.
About the Role
As UK Head of Compliance, you will:
- Oversee and manage a robust compliance framework across the UK & Ireland business.
- Set and deliver an annual compliance plan aligned to regulatory expectations and internal standards.
- Provide high-quality conduct and compliance advice to senior leaders and operational teams.
- Lead horizon scanning activity and support the business in implementing regulatory change.
- Build and maintain strong relationships with regulatory bodies, ensuring all reporting and notification requirements are met.
- Promote a proactive compliance culture focused on good customer outcomes and early identification of potential harm.
- Deliver clear, action-oriented insight to executive committees and governance forums.
- Ensure effective monitoring of regulatory risks and internal controls.
- Sit on all relevant UK & Ireland Executive Committees and play an active role in shaping business strategy, transformation, and customer-centric initiatives.
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Key Responsibilities
- Identify, assess, mitigate, and report on compliance risks across the UK & Ireland business.
- Maintain and oversee the SMCR regime in the UK and the equivalent framework in Ireland.
- Ensure consistent rollout of centrally driven compliance plans across all business units.
- Act as a senior point of contact for regulators, managing day-to-day interactions and regulatory submissions.
- Review and maintain internal compliance policies and ensure they are accessible and understood by employees.
- Lead, develop, and retain a high-performing compliance team with the right skills, experience, and behaviours.
- Represent Compliance at audit, risk, and executive committees.
- Ensure appropriate escalation of issues requiring senior approval.
- Collaborate with compliance leaders across the wider organisation to share best practice and learnings.
Regulatory & Conduct Expectations
This role carries Senior Management Function responsibilities (SMF16) and requires adherence to all relevant Conduct Rules, including:
- Acting with integrity, due care, skill, and diligence.
- Being open and cooperative with regulators.
- Prioritising customer interests and fair treatment.
- Ensuring effective control and oversight of delegated responsibilities.
- Ensuring the business meets regulatory standards and expectations.
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You will also be a key champion of Consumer Duty, ensuring good customer outcomes are embedded into all activities and foreseeable harm is avoided.
Leadership & People Management
You will lead a high-performing compliance team by:
- Setting clear goals, conducting regular performance reviews, and supporting career development.
- Coaching team members to unlock potential and providing access to relevant training.
- Identifying future leaders and accelerating their development.
- Managing workloads effectively and encouraging flexible resource sharing.
- Handling employee relations matters appropriately with HR support.
- Encouraging innovation, testing and learning, and new ways of working.
Business & Operational Management
- Understand and translate company strategy into compliance priorities.
- Manage budgets and authorisation levels effectively.
- Ensure strong risk and control procedures are in place.
- Support business development and client-focused initiatives.
- Promote an inclusive, diverse, and collaborative working environment.
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