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- Tasks: Lead and develop a high-performing Compliance team while managing regulatory risks.
- Company: Dynamic UK-based investment platform making investing accessible for everyone.
- Benefits: Competitive salary, leadership opportunities, and a collaborative work culture.
- Other info: Engage directly with regulators and influence at the Executive level.
- Why this job: Shape the future of compliance in a fast-paced fintech environment.
- Qualifications: 10+ years in Compliance with strong leadership and regulatory knowledge.
The predicted salary is between 100000 - 150000 £ per year.
Our client is a UK-based investment platform offering trading in stocks, ETFs, and other assets. It aims to make investing simple, transparent, and accessible to a broad retail audience.
The Compliance Director will be a direct report to the Chief Risk Officer.
- Leadership of the Compliance Function
- Lead and develop the Compliance team across multiple locations, fostering a high-performance, collaborative culture.
- Directly manage and oversee the Compliance Monitoring team, ensuring delivery of a risk-based monitoring plan, high-quality reviews, and timely remediation of findings.
- Coach and develop team members, building both technical capability and leadership strength.
- Ownership of the Compliance Programme
- Own and deliver the Compliance framework, ensuring it remains effective, scalable, and aligned to regulatory expectations and business strategy.
- Set the strategic direction for Compliance, including policy, advisory, monitoring, and reporting activities.
- Regulatory Advisory & Business Partnering
- Act as the senior Compliance advisor to the business, providing pragmatic, commercially aware guidance on regulatory matters.
- Lead Compliance Advisory activity across product, engineering, and operations teams, supporting new product development, strategic initiatives, and regulatory change.
- Regulatory Risk Management
- Identify, assess, and manage key areas of regulatory risk, ensuring appropriate controls and mitigations are in place.
- Oversee compliance reviews, controls testing, and thematic assessments, ensuring issues are identified, escalated, and resolved effectively.
- Regulatory Engagement
- Act as a key point of contact with the Financial Conduct Authority, building strong, credible relationships.
- Lead regulatory interactions, including submissions, enquiries, and inspections.
- Governance & Reporting
- Oversee the production of high-quality Compliance MI and reports for senior management and governance forums.
- Provide clear insights on compliance risks, trends, and emerging regulatory developments.
- Policy & Framework Oversight
- Own and enhance Compliance-owned policies, processes, and controls, ensuring they remain fit for purpose.
- Drive continuous improvement across the Compliance framework.
Significant experience (typically 10+ years) in Compliance within financial services, with deep exposure to retail investments.
Proven track record in a senior Compliance leadership role, ideally within a retail investment broker, fintech, or high-growth regulated firm.
Strong technical knowledge of UK financial services regulation and Financial Conduct Authority expectations.
Experience engaging directly with regulators and managing regulatory relationships.
Strong leadership capability, with experience building, developing, and leading high-performing teams.
Commercially minded, able to balance regulatory requirements with business objectives.
Excellent stakeholder management and communication skills, with the ability to influence at Executive and Board level.
Director-Compliance in City of London employer: Actus Search
Contact Detail:
Actus Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director-Compliance in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance culture. Think about how your experience aligns with their needs, especially in regulatory risk management. Show them you’re not just a fit on paper but a perfect match for their team!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your interest. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Director role! We’ve got loads of resources to help you ace the process, so make sure you take advantage of everything we offer to boost your application.
We think you need these skills to ace Director-Compliance in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the job description. Highlight your experience in compliance, especially in financial services, and showcase any leadership roles you've had. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for the Compliance Director role. Share specific examples of how you've led teams and managed regulatory relationships. Let us know what makes you tick!
Showcase Your Regulatory Knowledge: We’re looking for someone with a strong grasp of UK financial services regulation. In your application, mention any relevant certifications or experiences that demonstrate your expertise. This will help us see your technical capability right away!
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Actus Search
✨Know Your Compliance Stuff
Make sure you brush up on UK financial services regulations and the expectations of the Financial Conduct Authority. Being able to discuss specific regulatory frameworks and how they apply to retail investments will show that you're not just familiar with the rules, but that you can also navigate them effectively.
✨Showcase Your Leadership Skills
As a Compliance Director, you'll need to lead a team across multiple locations. Prepare examples of how you've built high-performing teams in the past. Think about times when you coached team members or fostered a collaborative culture—these stories will highlight your leadership capability.
✨Be Ready for Real-World Scenarios
Expect to be asked about how you would handle specific compliance challenges or regulatory changes. Think through potential scenarios related to compliance monitoring or risk management and be ready to discuss your approach to resolving these issues pragmatically while balancing business objectives.
✨Engage with Stakeholders
Your role will involve significant interaction with various stakeholders, including regulators and senior management. Prepare to discuss how you've successfully managed these relationships in the past. Highlight your communication skills and ability to influence at the executive level, as this will be crucial for the role.