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- Tasks: Lead a team to enhance compliance operations and implement effective policies.
- Company: Join a leading wealth management firm focused on compliance excellence.
- Benefits: Enjoy a collaborative culture with opportunities for professional growth and development.
- Why this job: Make a real impact in compliance while mentoring a dynamic team.
- Qualifications: Proven leadership in compliance, ideally within wealth or financial planning.
- Other info: IDEX values diversity and inclusion, fostering an authentic workplace for all.
The predicted salary is between 43200 - 72000 £ per year.
Are you a Senior Compliance Leader with a strong operational mindset and deep understanding of financial advice processes? 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.
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 optimising teams
- Comfortable managing senior technical staff and acting as the operational "engine" of compliance
Compliance Director employer: IDEX Consulting
Contact Detail:
IDEX Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Director
✨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 company culture.
✨Tip Number 2
Familiarise yourself with the latest regulatory changes and compliance best practices in the financial advice sector. This knowledge will not only help you in interviews but also demonstrate your commitment to staying current in the field.
✨Tip Number 3
Prepare to discuss specific examples of how you've improved compliance operations in previous roles. Highlight your leadership style and how you've successfully managed teams to achieve compliance goals.
✨Tip Number 4
Research the company’s values and recent initiatives related to diversity, equity, and inclusion. Be ready to articulate how your own values align with theirs and how you can contribute to fostering an inclusive workplace.
We think you need these skills to ace Compliance Director
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. Emphasise your operational mindset and any relevant qualifications, such as level 4 or Chartered status.
Craft a Compelling Cover Letter: In your cover letter, address how your experience aligns with the key responsibilities of the Compliance Director role. Mention specific examples of how you've driven compliance operations and improved policies in previous positions.
Showcase Your Leadership Skills: Highlight your ability to manage and mentor teams effectively. Provide examples of how you've built and optimised teams in the past, demonstrating your capability to lead a team of 10+ professionals.
Research IDEX and Their Values: Familiarise yourself with IDEX Consulting Ltd's mission and values, especially their commitment to diversity, equity, and inclusion. Reflect this understanding in your application to show that you align with their company culture.
How to prepare for a job interview at IDEX Consulting
✨Showcase Your Leadership Skills
As a Compliance Director, you'll be leading a team of over 10 professionals. Be prepared to discuss your previous leadership experiences, how you've motivated teams, and the strategies you've used to drive compliance operations effectively.
✨Demonstrate Your Technical Knowledge
You need a strong understanding of financial advice processes and regulatory frameworks. Brush up on relevant regulations and be ready to explain how you've applied this knowledge in past roles, especially in a wealth management context.
✨Prepare for Operational Scenarios
Since the role requires an operational mindset, think about specific examples where you've tackled inefficiencies or improved processes. Be ready to discuss how you would implement and refine operational policies in the new role.
✨Engage with Stakeholders
Collaboration with senior stakeholders is key. Prepare to talk about how you've successfully partnered with other departments in the past, particularly in risk management, and how you plan to maintain these relationships in your new position.
