Compliance Manager (Deputy Head)

Compliance Manager, Deputy Head A leading financial institution in London is seeking a Compliance Manager Deputy Head to join their highly respected compliance team. This pivotal role offers you the opportunity to deputise for senior leaders, including at executive committees, and to act as deputy chair for the Compliance Committee. You will be entrusted with ownership of regulatory advisory functions, horizon scanning, and compliance monitoring programmes, ensuring the organisation remains ahead of regulatory changes and maintains robust controls. The environment is supportive and inclusive, with a strong emphasis on professional development, training opportunities, and flexible working arrangements. If you are passionate about regulatory compliance and thrive in a collaborative setting where your expertise will be valued and your growth supported, this is an exceptional opportunity to make a meaningful impact. * You will have the chance to shape regulatory compliance strategy by overseeing advisory functions, monitoring programmes, and horizon scanning processes, ensuring the organisation stays ahead of industry developments. * The role offers significant exposure to senior management and committees, allowing you to build influential relationships across the business while acting as a trusted ambassador for compliance. * Enjoy a workplace that prioritises training opportunities, flexible working options, and generous pension contributions, supporting your professional growth and personal wellbeing.

What you'll do:

As Compliance Manager Deputy Head based in London, you will play a central role in driving regulatory excellence across all facets of compliance. Your day-to-day responsibilities will involve deputising for senior leaders at key committees, acting as deputy chair for the Compliance Committee, and taking full ownership of regulatory advisory functions. You will oversee horizon scanning activities to identify emerging risks and ensure timely reporting on regulatory matters. By managing trackers for advice and actions, you will facilitate effective closure of issues while producing insightful management information. Your involvement in preparing committee updates will position you as a trusted advisor within the organisation. Additionally, you will collaborate with risk management teams to maintain robust controls and lead responses to external requests from regulators or auditors. Success in this role requires proactive engagement with stakeholders at all levels—building strong relationships across departments—and continuous improvement of compliance monitoring programmes. You will also contribute to annual training plans and deliver allocated training sessions to enhance branch-wide understanding of compliance requirements.

• Deputise for senior leaders as required, including participation in executive committees such as ExCo, Risk Co, and Credit Co, ensuring seamless continuity of compliance leadership.
• Act as deputy chair for the Compliance Committee, providing guidance and oversight to ensure effective governance and adherence to regulatory standards.
• Take ownership of the regulatory advisory function (excluding Financial Crime and Data Privacy), offering subject matter expertise on Bank of England/PRA regulations and overseeing advice provided by the compliance manager.
• Maintain working knowledge of Financial Crime matters to support the AVP Financial Crime when necessary, ensuring holistic coverage across the compliance team.
• Manage the regulatory advice tracker in collaboration with colleagues to ensure timely delivery of advice, closure of actions, production of management information (MI), and reporting on trends and operational risks.
• Oversee horizon scanning processes by supporting the Compliance Manager in identifying and assessing changes in the external regulatory environment according to established procedures.
• Ensure timely regulatory reporting by overseeing the Compliance Manager’s engagement with report owners and facilitating accurate submissions to relevant authorities.
• Prepare MI and regulatory updates for committees, presenting content as needed to inform decision-making at various levels within the organisation.
• Work closely with risk management teams to maintain robust controls owned by Compliance in the risk register through regular reviews and updates via RCSA processes.
• Lead responses to requests from group functions, regulators, or external auditors when required, ensuring clear communication and timely delivery of information.

What you bring:

Your proven track record as a Compliance Manager Deputy Head will demonstrate deep expertise in financial services compliance gained over more than ten years within banking environments. You bring advanced qualifications such as ICA Risk & Governance or CISI Investment Compliance diplomas alongside a degree-level education. Your familiarity with retail and corporate banking products enables you to apply best practice frameworks across diverse business lines. You have successfully led advisory functions—providing subject matter expertise on complex regulations—and managed monitoring programmes that drive operational excellence. Your experience engaging with regulators equips you to respond confidently during audits or supervisory reviews. Building dependable relationships comes naturally; you connect easily with colleagues at all levels while championing collaborative values throughout your team. You are committed to nurturing talent through development plans that encourage growth leadership among direct reports. Your approach balances sensitivity towards risk with commercial awareness—ensuring decisions are made responsibly yet pragmatically. As someone who thrives in inclusive environments where knowledge sharing is encouraged, your interpersonal skills foster constructive feedback loops that support continuous improvement.

• Holds a relevant diploma such as ICA Risk & Governance, CII Financial Planning or CISI Investment Compliance; educated to degree level with proven academic credentials.
• Brings at least ten years’ experience in financial services compliance within banking environments, including leadership roles overseeing advisory and monitoring functions.
• Demonstrates strong knowledge of retail and corporate banking sectors, products, distribution channels, and successful application of compliance frameworks within these areas.
• Has extensive experience liaising with regulators—particularly supervisory teams—and responding effectively to regulator requests or audits.
• Exhibits outstanding stakeholder relationship skills from junior staff through senior management levels; able to foster trustful connections with group functions as well as external parties.
• Shows proven ability to balance risk considerations with commercial objectives when making key decisions affecting compliance strategy or operations.
• Possesses excellent interpersonal skills that enable constructive feedback loops within teams; supports continuous improvement through identification of training needs or performance enhancements.
• Displays commitment to collaborative teamwork by embracing departmental values and acting as an ambassador for both branch culture and broader organisational ethos.
• Is adept at creating proportionate risk universes underpinning compliance monitoring plans; ensures input from business SMEs is incorporated into programme design.
• Has experience implementing development plans for direct reports—agreeing SMART objectives annually—and supporting individual success while strengthening overall team capability.

What sets this company apart:

This organisation stands out for its unwavering commitment to fostering an inclusive culture where every team member’s contribution is valued. Employees benefit from flexible working opportunities designed around their needs—whether balancing family commitments or pursuing further education—with generous pension contributions supporting long-term financial security. The company invests heavily in professional development through structured training programmes that empower individuals at all stages of their careers. Leadership is supportive rather than hierarchical; managers are approachable mentors who encourage open dialogue across departments. The workplace is renowned for its collaborative spirit—teams work together seamlessly towards shared goals while celebrating diversity in thought and background. With access to cutting-edge resources and ongoing learning initiatives, employees enjoy an environment where personal growth is matched by organisational success. The company’s reputation for ethical conduct attracts professionals who value integrity above all else; here you can expect your efforts not only recognised but rewarded through meaningful career progression pathways.

What's next:

If you are ready to take your career in compliance leadership to new heights within a supportive environment that values your expertise—apply now!

Apply today by clicking on the link provided.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates