Head of Compliance - Brentford, London

Nils Lloyd-Penny
Date Posted
06 Jan 2022
Work Type
Part Time
Financial Services
Approx £80-90k FTE

Head of Compliance / MLRO for a NFP Financial Services Company

It is envisaged that the role will be 3-4 days per week but could potentially be a full time role for the right candidate.

You are our compliance expert who is responsible, trusted and analytical with a keen eye for detail and are able to deliver compliance monitoring that will help in identifying key risks to the business and developing solutions for mitigating them.

You are the custodian of the compliance processes, policies and procedures. Your approach is supportive, collaborative and helpful with a focus on effectively managing both internal and external relationships.

Key Responsibilities

  • Acting as first point of contact with the PRA, FCA and other regulatory bodies and ensuring response to regulatory requests/reporting/complaints/breach notifications are compliant, timely, appropriate, and accurate.
  • Staying abreast of relevant regulatory and industry developments, including the FCA’s SM&CR regime, Money Laundering regulations, ABCUL, FSCS, ICO, FOS, GDPR, PRA, FCA, CCA, PSR, PSD2 and DPA.
  • Leading the overall design and delivery of a proportionate risk-based Compliance framework of Key Risk Indicators (KRIs), assisting risk owners with the identification, assessment and document of risk and controls
  • Acting as first point of contact for advice on issues / complaints. Tracking all potential risks or areas of concern and carrying out Corrective Action Plan (CAP) for Incident Management process.
  • Review marketing material and websites to ensure compliance with regulatory requirements, including ASA
  • Develop and review documentation, controls, policies, and procedures required to maintain compliance with all regulatory requirements and best practice.
  • Manage Internal Auditor process and oversee the tracking and follow up of all identified audit findings.
  • Monitor Single Customer View and FSCS processes, keeping updated with temporary high balance rules.
  • Monitoring Gifts and Hospitality, Conflicts of Interest and Confidentiality statements.
  • Undertake Due Diligence of key outsourced service providers and support Operational Resilience and Business Continuity planning
  • Ensures adhereance to relevant Data Protection/GDPR requirements and ensures robust data privacy and security of its members.
  • Play active role in monthly Risk Committee meetings, the weekly Senior Management Team meetings and attend Board Meetings as requested.
  • Work closely with other departments, Senior Management and Board to create a culture of compliance and drive the overall Risk Management strategy and framework in alignment with board-level risk appetites, CREDS and the company Rulebook
  • Maintain and develop own skills, knowledge and behaviours as well as keep up to date with regulatory standards and changes


  • Experience of working within financial services
  • Experience in communicating with regulators and senior management
  • Experience in KYC/AML/TCF
  • Knowledge of Senior Management Certification Regime
  • Attention to detail
  • Quantitative and qualitative skills
  • Clear communicator
  • Team player


  • Experience of working within PRA regulated institution
  • Experience with CCA, Consumer Information or Credit Broking Permissions

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Ref: 2386
Role: Head of Compliance
Location: Brentford, London