ABL Recruitment
Mandarin Speaking Head of Legal & Compliance
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Mandarin Speaking Head of Legal & Compliance
Location: Central London
Industry: Banking / Financial Services
Working Pattern: 4 days in the office
Employment Type: Permanent
About the Role
This is an excellent opportunity for an experienced senior Mandarin speaking Head of Legal & Compliance (SMF16) to take ownership of the Legal & Compliance function within an established international banking environment in London. It is a senior leadership and regulatory role, reporting directly to the Deputy General Manager and managing a team of 5 professionals. The successful candidate will take responsibility for maintaining a robust compliance framework across the London branch, acting as a key point of contact with the FCA and PRA, advising senior management on regulatory matters and supporting the Bank in maintaining a strong compliance culture.
Key Responsibilities
- Lead and manage the Legal & Compliance function, ensuring the Bank operates in accordance with FCA, PRA and wider UK regulatory requirements
- Hold SMF16 – Compliance Oversight responsibilities under the Senior Managers Regime
- Act as a key point of contact with the FCA and PRA on regulatory matters
- Advise senior management and relevant governance committees on regulatory developments, compliance risks and required actions
- Develop, review and maintain the Bank’s compliance framework, policies and procedures
- Develop and deliver the annual risk-based compliance plan and monitoring programme
- Identify key compliance risks and ensure appropriate controls and remediation actions are implemented
- Provide compliance advice on new products, business initiatives and projects
- Monitor regulatory developments, consultation papers, policy statements, thematic reviews and enforcement activity
- Coordinate regulatory reviews and internal/external audits relating to Compliance
- Manage and follow up regulatory findings and remediation actions
- Provide regulatory and compliance training across the Bank, including Conduct Rules requirements
- Review legal and contractual documentation including client agreements, vendor contracts and third-party agreements
- Promote and maintain a strong compliance culture throughout the organisation
- Lead, develop and manage the Compliance team, including performance management and professional development
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Key Requirements
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- Significant senior-level Compliance experience within UK banking or financial services
- Strong knowledge of the FCA and PRA regulatory framework
- Previous experience operating within the Senior Managers & Certification Regime (SMCR)
- Strong understanding of Compliance Oversight, Conduct Rules and regulatory governance
- Demonstrable experience dealing directly with the FCA and/or PRA
- Experience leading a Compliance function or senior Compliance team
- Strong experience advising senior management and governance committees
- Good understanding of UK banking regulation, regulatory change and compliance monitoring
- Legal knowledge and experience reviewing commercial/client/vendor agreements would be highly advantageous
- Excellent stakeholder management, communication and leadership skills
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