Head of Compliance

  • Negotiable
  • London, England, United Kingdom
  • Permanent, Full time
  • Page Executive
  • 14 Aug 17

This is a Head of Compliance role for a start up Investment Bank; the successful candidate will help the Bank obtain a banking licence and ensure that all activities are carried out in full compliance with regulatory requirements.

A start up Investment Bank


To head up the Compliance team within a pressurised and high performing environment, to help protect the

business from regulatory and reputational risk. To achieve this through establishing a clear risk framework,

setting common standards, assessing adherence to standards, giving training and guidance, monitoring the

business and providing advice.

This requires being at the heart of the business, whilst being independent of the business as a second line of defence, being proactive in anticipating and addressing risks, driving adherence to the Values of the Bank, and being a role model for Compliance across the industry.


LLB qualification preferred

10 years Banking and Compliance experience

Understands international legislative and regulatory requirements impacting


Understands the business, including fixed income, currency, commodity and equity


Able to analyse, interpret and advise on regulation and legislation.

Engages regulators and industry groups constructively on compliance and regulatory


Understands the core principles of an effective compliance function.

Is able to establish effective compliance frameworks, structures and core processes.

Understands and is able to implement Compliance governance.

Job Offer

Highly competitive salary and package.