Job Summary

We are seeking experienced professional for the Assistant Vice President – Regulatory Compliance role that will lead the Regulatory Advisory and Compliance Monitoring functions within QNB-UK. This role plays a critical part in ensuring regulatory compliance, delivering risk-based monitoring activities, and maintaining strong relationships with regulators and internal stakeholders.

The successful candidate will act as a key deputy to the SVP Compliance and will contribute to governance forums, regulatory engagement, and strategic compliance initiatives.

Main Responsibilities

Leadership & Governance

• Deputize for the SVP Compliance as required, including participation in ExCo, Risk Committee, and Credit Committee

• Serve as Deputy Chair of the Compliance Committee

• Lead or support non-BAU activities, including investigations and special projects

Regulatory Advisory

• Lead the Regulatory Advisory function (excluding Financial Crime and Data Privacy)

• Provide SME regulatory guidance to the branch, with strong knowledge of BoE/PRA frameworks

• Oversee and maintain the Regulatory Advice Tracker, ensuring timely actions, closure, and meaningful MI reporting

• Own and oversee the Horizon Scanning process, ensuring regulatory developments are identified, assessed, and communicated

• Ensure timely regulatory reporting, including oversight of LLRC processes

• Prepare and present regulatory updates and MI to Committees

• Collaborate with Financial Crime to ensure robust risk register controls and RCSA processes

• Lead responses to regulator, audit, and Group requests

• Contribute to and deliver Compliance training programs

Compliance Monitoring Program (CMP)

• Own and deliver a risk-based Compliance Monitoring Program

• Develop and maintain the Risk Universe underpinning the CMP

• Coordinate with Financial Crime and Internal Audit to ensure holistic coverage and avoidance of duplication

• Engage senior stakeholders (including ExCo) on CMP planning

• Ensure bi-annual refresh and Committee approval of CMP and Risk Universe

• Deliver CMP reviews and ensure timely escalation of issues

• Own the CMP action tracking process, including reporting and root cause analysis

• Oversee quality assurance (QA) of monitoring activities, ensuring continuous improvement and training

• Maintain CMP methodologies, templates, and documentation

Internal Control Testing

• Oversee the Internal Control Plan (ICP) through the Compliance Manager

• Ensure effective testing, reporting, and escalation of control weaknesses

• Liaise with Group functions to support ICP delivery

• Provide guidance, challenge, and escalation support to the Compliance Manager

People Management & Stakeholder Engagement

• Manage Compliance Managers across Regulatory Advisory, CMP, and Internal Controls

• Set and monitor SMART objectives and development plans

• Build strong relationships with Senior Management, Group functions, and regulators

• Act as an ambassador for QNB values and Compliance function integrity

• Influence and challenge stakeholders effectively while maintaining strong credibility

Education and Experience Requirements

• Bachelor's degree in Finance, Management or other similar programs, with relevant professional certification (e.g., ICA, CISI, CII)

• Minimum 10 years’ experience in Financial Services Compliance, including leadership of advisory and monitoring functions

• Strong knowledge of retail and corporate banking products and regulatory frameworks in the UK

• Proven experience engaging with regulators and supervisory authorities

• Demonstrated ability to lead, influence, and manage senior stakeholders

• Strong decision-making skills, balancing risk management and commercial objectives