Overview
* Job Title: Head of Legal and Compliance
* Location: West London
* Job Type: Permanent | Full-Time | Fully Office-Based
* Department: Legal and Compliance
* Level: Senior Management Function (SMF16 & SMF17)
* Reports to: Chief Executive Officer
* Direct Reports: Deputy Managers; Regulatory Compliance & Data Protection Officer; Head of Financial Crime Operations (functional reporting)
About the Role
A high-profile opportunity has arisen for a Head of Legal and Compliance to join a dynamic financial institution in West London. This senior leadership role is critical to ensuring regulatory compliance and maintaining robust legal oversight across the organisation. As a SMF16 (Compliance Oversight Function) and SMF17 (Money Laundering Reporting Officer) role, this position demands a confident, experienced professional ready to lead the Legal and Compliance department and work closely with Executive and Board-level stakeholders.
Responsibilities
* Compliance and Financial Crime
o Champion a strong compliance culture across the organisation.
o Create, review, and update compliance policies and procedures in line with regulatory expectations.
o Lead compliance training, horizon scanning, and regulatory mapping across departments.
o Oversee policies related to KYC, AML, Sanctions, ABC, Fraud, and Financial Crime risk.
o Develop and manage a risk-based Compliance Monitoring Plan (CMP).
o Ensure regulatory reporting of KRIs and KPIs to internal governance bodies.
o Liaise with regulators and manage the bank's relationship with the FCA/PRA.
o Oversight of frauds, legal/criminal actions, and internal escalation processes.
o Ensure all marketing and product materials comply with relevant regulations.
o Drive performance accountability and competency development within the Legal & Compliance function.
* Legal Oversight
o Review legal agreements and contracts.
o Provide legal advice via internal and external counsel.
o Manage litigation and relationships with the bank's panel of solicitors.
* Governance and Senior Manager Functions
o Maintain and update the Management Responsibilities Map.
o Oversee the organisation's compliance with all applicable UK regulations.
o Lead on policies and procedures countering financial crime risks.
o Ensure compliance with Conduct Rules including training and reporting obligations.
* Committee Involvement
o Chair of the Legal & Compliance Committee
o Member of key Management Committees including MANCO and Risk
o Regular invitee to the Board, Board Risk Committee, and Board Audit Committee
Candidate Profile
* Required Qualifications & Experience:
o A recognised diploma and/or degree is essential.
o Extensive experience in senior compliance/legal roles within the financial sector.
o Proven experience managing regulatory relationships (FCA, PRA).
o In-depth knowledge of UK financial regulatory frameworks and supervisory expectations.
o Experience overseeing Financial Crime, AML, KYC, Sanctions, and Fraud frameworks.
* Key Skills & Competencies:
o Strong leadership and people management capabilities.
o Excellent interpersonal and communication skills at all levels.
o Highly analytical, detail-oriented, and decisive.
o Resilient with the energy and drive to succeed in a demanding environment.
o Effective under pressure with a strategic mindset and results-driven approach.
Why Join?
This is a rare and exciting opportunity to step into a senior leadership position, shape regulatory strategy, and make a lasting impact within a well-established institution. You'll work alongside experienced professionals at the executive and board level, providing you with high visibility and career progression potential
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