Director of Compliance

Compliance Director

IDEX are exclusively representing a wealth management firm seeking an experienced Compliance Director to lead and strengthen the first-line controls, oversee day-to-day compliance operations, and drive forward policy and procedural improvements. We are looking to speak to senior Risk and Compliance leaders with a strong operational mindset and deep understanding of financial advice processes.

The Role

This is a leadership position and you will lead a team of 10 + professionals. This is a senior, hands-on position, ideal for someone who can combine technical compliance expertise with operational delivery. You will not hold SMF16, but you’ll be expected to operate at a senior, director level, partnering closely with senior stakeholders across the business.

Key Responsibilities

• Drive effective compliance operations and manage day-to-day workload across core teams
• Implement and refine operational policies and procedures
• Tackle and resolve backlog and inefficiencies across functions
• Ensure robust MI and reporting mechanisms
• Collaborate closely with the risk function, especially on operational risk matters
• Maintain oversight of advice quality, ensuring regulatory standards are consistently met
• Provide mentoring and direction to managers and team leads

About You

• Proven leadership experience in compliance within a wealth or financial planning environment
• Strong understanding of financial advice and regulatory frameworks (Level 4 qualified or Chartered preferred)
• Deep working knowledge of financial planning products and advice process
• Process-driven and operationally strong, with a track record of building and optimizing teams
• Comfortable managing senior technical staff and acting as the operational “engine” of compliance