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Recruiter | Ex-Compliance Officer | Helping Risk & Compliance Talent Find the Right Fit | Banking & Financial Services Specialist
Head of Compliance – SMF16 / DPO
Hybrid Working Available – 2/3 Days in the office
Up to £120,000 Base Salary
This is a great opportunity for a senior compliance professional who wants to step away from the hectic pace of city life but still work in a corporate financial services environment. Based in a well-connected Hertfordshire location, it offers a better work-life balance without compromising on career impact.
An exciting opportunity has arisen for a strategic and experienced compliance professional to join a dynamic UK-regulated bank as Head of Compliance. This is a senior leadership role with accountability for the SMF16 (Compliance Oversight) and DPO functions, alongside oversight responsibilities for SMF17 (MLRO). The position sits on the Senior Management Team and plays a pivotal role in ensuring that the firm’s regulatory obligations and data protection standards are consistently upheld.
Key Responsibilities:
- Lead and manage the Compliance function, ensuring effective adherence to FCA and PRA regulatory frameworks.
- Act as the Bank’s SMF16 and Data Protection Officer (DPO), providing expert guidance on all aspects of compliance and data privacy.
- Oversight of the SMF17 (MLRO) function, ensuring robust financial crime controls, including AML, CTF, fraud, and ABC measures.
- Provide senior leadership with expert advice and assurance on regulatory compliance, conduct risks, and best market practice.
- Develop, implement and maintain a forward-looking Compliance Monitoring Plan, leading all second-line activity.
- Keep policies, frameworks and procedures aligned with evolving regulatory requirements and risk appetite.
- Oversee the assessment of compliance and financial crime risks for all new products, initiatives, and strategic decisions.
- Coordinate regulatory reporting and communications with the FCA, PRA, NCA and other relevant authorities.
- Deliver bank-wide training on regulatory, conduct and data protection matters.
- Maintain GDPR compliance in line with Article 39 obligations, including staff training, audits, and documentation of data processing activities.
Strategic & Leadership Involvement:
- Play a key role in the Senior Leadership Team, contributing to strategic and operational plans in line with Board objectives.
- Champion a culture of integrity, simplicity, and accountability while reinforcing ethical conduct across the bank.
- Ensure the bank’s operations reflect strong corporate governance, regulatory compliance, and customer-centric values.
What We’re Looking For:
- Significant experience in a senior compliance role within the banking or wider financial services sector. Preferably having held SM16 in a similar environment
- Strong knowledge of UK regulatory frameworks, FCA/PRA conduct rules, SMCR, AML regulations, and GDPR.
- Demonstrable experience engaging with regulators and delivering compliance assurance at Board level.
- A proven track record of managing compliance teams, driving change, and building robust control environments.
- Educated to degree level and/or holding relevant professional qualifications (e.g. ICA, CISI, or legal/compliance certifications).
- Excellent interpersonal and leadership skills, with the ability to influence, challenge and support at senior levels.
This is a rare opportunity to shape and lead the compliance agenda at a forward-thinking bank, helping ensure it continues to operate with integrity, clarity, and confidence.
Seniority level
Seniority level
Director
Employment type
Employment type
Full-time
Job function
Job function
Finance
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