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- Tasks: Lead a team to enhance compliance operations and refine policies.
- Company: Join a leading wealth management firm focused on financial advice excellence.
- Benefits: Enjoy competitive salary, professional development, and a collaborative work culture.
- Why this job: Make a real impact in compliance while mentoring a dynamic team.
- Qualifications: Proven leadership in compliance with a strong grasp of financial regulations.
- Other info: Ideal for those seeking a hands-on role at a senior level.
The predicted salary is between 43200 - 72000 £ per year.
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.
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
- 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
Contact Detail:
IDEX Consulting Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director of Compliance
✨Tip Number 1
Network with professionals in the wealth management and compliance sectors. Attend industry events or webinars to connect with potential colleagues and leaders who can provide insights into the role and the company culture.
✨Tip Number 2
Research the latest trends and regulatory changes in financial advice processes. Being well-versed in current compliance challenges will demonstrate your proactive approach and commitment to the role during interviews.
✨Tip Number 3
Prepare to discuss specific examples of how you've improved compliance operations in previous roles. Highlighting your hands-on experience with operational delivery will resonate well with the hiring team.
✨Tip Number 4
Familiarise yourself with the company's values and mission. Tailoring your conversations to align with their goals will show that you're not just a fit for the role, but also for the organisation as a whole.
We think you need these skills to ace Director of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your leadership experience in compliance, particularly within wealth management or financial planning. Use specific examples that demonstrate your operational mindset and understanding of regulatory frameworks.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and detail how your experience aligns with the key responsibilities of the role. Mention your ability to drive policy improvements and manage teams effectively.
Highlight Relevant Qualifications: Clearly state your qualifications, especially if you are Level 4 qualified or Chartered. This will show that you have the necessary knowledge and expertise in financial advice processes.
Showcase Your Operational Achievements: Provide examples of how you have tackled inefficiencies and improved compliance operations in previous roles. This will demonstrate your process-driven approach and ability to lead teams successfully.
How to prepare for a job interview at IDEX Consulting Ltd
✨Showcase Your Leadership Experience
As a Compliance Director, you'll be leading a team of professionals. Be prepared to discuss your previous leadership roles, focusing on how you've successfully managed teams and driven compliance initiatives in the past.
✨Demonstrate Your Technical Knowledge
Make sure to highlight your understanding of financial advice processes and regulatory frameworks. Prepare examples that showcase your expertise in compliance and how it has positively impacted your previous organisations.
✨Discuss Operational Improvements
Since the role involves refining operational policies and procedures, come ready with ideas or examples of how you've tackled inefficiencies in past roles. This will show your proactive approach and operational mindset.
✨Prepare for Stakeholder Collaboration
You'll need to partner closely with senior stakeholders. Think of instances where you've successfully collaborated with other departments or senior leaders, and be ready to share these experiences during the interview.
