Deputy Head of Compliance, City of London

Job Description:

  • Have a good understanding of relevant legislation, the PRA and FCA Handbooks, and appropriate industry guidance in the context of the business of the Bank.
  • Identifies the regulatory risks the bank faces, mitigating controls and make appropriate changes.
  • Ensures that the Compliance RCSAs are complete and up to date.
  • Tracks upstream regulatory change
  • Help plan, prepare and execute the compliance monitoring programme.
  • To oversee and carry out conduct risk controls, monitor the business for conduct risk issues and support conduct risk projects. To ensure appropriate conduct risk management information (MI) is made available to the relevant governance bodies on a timely basis.
  • To provide advice and training to the business in respect of conduct risk issues.
  • The maintenance and enhancement, where necessary, of the Conduct Risk Framework, considering any emerging conduct risks and regulation.
  • Update policies and procedures as appropriate and ensure that they are fit for purpose;
  • Advises the business to enable it to demonstrate, on an on-going basis, that it can meet its Consumer Duty and TCF obligations.
  • Develop effective working relationships with the Bank’s key stakeholders;
  • Ensures that all staff are aware, by means of tailored face to face training and otherwise, of the corporate and personal regulatory obligations.
  • The production of the monthly Compliance/Conduct Risk MI and Compliance monitoring reports from time to time.
  • To act as the point of contact for Data protection matters and support the DPO in ensuring that the Bank is compliant with extant legislation.
  • Monitor compliance with the UK GDPR and other applicable data protection legislation and with the Bank’s data protection policies.
  • To undertake breach investigation and reporting into data breaches in line with the Bank’s procedures.
  • Deliver Data Protection training to staff from time to time
  • Any other work assigned from time to time.
  • To make yourself aware about all the Bank’s policies, procedures and other guidelines which are placed in the “Policies for all” folder of the Project drive (which are being reviewed or updated from time to time).
  • Will report to Head of Compliance.
  • Number of direct reports: 3


Our client is an equal opportunity employer and ensures that no applicant is subject to less favourable treatment on the grounds of gender, marital status, race, colour, nationality, ethnic or national origins, age, sexual orientation, responsibilities for dependants, physical or mental disability. Candidates are selected for interview based on their skills, qualifications and experience.


Please note that we can only consider candidates who are eligible to work in the UK and are able to provide relevant supporting documentation.


For further information, please contact: 

Enrico Castagnetti, Wintermann Search & Selection Limited

Mobile:       +44 (0)7711 267500




Print | Sitemap
© Wintermann Search