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Head of Compliance

2 months ago

Greater London, United Kingdom ETRA Talent Full time

Job Title: Head of Compliance (SMF16/17)

Sector: Financial Services - Business Banking

Employment Type: Full-time, Permanent


About the Client

We are recruiting on behalf of a fast-growing, dynamic small business bank that is committed to providing innovative financial services to SMEs across the UK. With a strong focus on supporting the growth and success of their customers, they are now looking to appoint a highly experienced Head of Compliance (SMF16/17) to join their senior leadership team.


This is an exciting opportunity to take ownership of the bank’s compliance function, with a particular focus on Mortgage Conduct of Business (MCOB) regulations, while ensuring the business continues to operate with integrity and in full alignment with regulatory requirements.


The Role

In this role, you will assume Senior Management Function (SMF16/17) responsibility, acting as the bank’s lead for compliance matters and the primary liaison with the FCA, PRA, and other regulatory bodies. You will be tasked with developing and overseeing the bank’s compliance strategy, embedding a robust compliance culture, and ensuring all operations comply with the MCOB regulations and wider regulatory frameworks.

Key responsibilities include providing compliance oversight at the board level, advising senior management on regulatory requirements, and leading the bank's response to compliance audits and reviews.


Key Responsibilities

  • Develop and lead the bank’s compliance strategy, ensuring adherence to all FCA and PRA regulations, with a strong focus on MCOB regulations.
  • Act as the bank’s SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer), with overall responsibility for regulatory compliance.
  • Lead the compliance function, fostering a culture of proactive compliance and regulatory awareness throughout the bank.
  • Provide expert guidance on MCOB regulations and ensure full compliance with these and other relevant rules.
  • Manage relationships with regulatory bodies, acting as the bank’s key point of contact for the FCA, PRA, and other relevant authorities.
  • Oversee internal compliance audits, ensuring that all findings are addressed, and work with internal teams to enhance policies and controls.
  • Monitor regulatory changes and assess the impact on the bank, ensuring the bank’s practices are continuously updated and compliant.
  • Deliver regular compliance updates and reports to the Board and senior leadership team.


Candidate Profile

The ideal candidate will be an experienced compliance professional with a deep understanding of MCOB regulations and experience managing compliance functions at a senior level within a financial services organisation. You should have a strong track record of working closely with regulators and leading compliance teams in a bank or similar institution.


Key Requirements

  • Proven experience in a senior compliance role, ideally within a bank or lender.
  • Strong knowledge and practical experience of MCOB regulations.
  • Experience managing SMF16/SMF17 functions with the FCA/PRA.
  • Demonstrable ability to advise and influence senior leadership on compliance and regulatory matters.
  • Excellent stakeholder management and communication skills.
  • A strategic mindset with the ability to balance regulatory requirements with commercial objectives.
  • Strong leadership experience and the ability to manage a high-performing compliance team.
  • Analytical mindset with attention to detail and the ability to assess and manage regulatory risk.

Why Consider This Role?

This role provides a unique opportunity to join a growing, innovative bank at a critical stage of its development. You will have the opportunity to shape and lead the compliance function, working directly with senior leadership to ensure regulatory excellence while supporting the bank's commercial goals.