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- Tasks: Lead the Compliance team, ensuring effective risk management and regulatory adherence.
- Company: Dynamic UK-based investment platform focused on accessible trading.
- Benefits: Competitive salary, leadership development, and a collaborative work culture.
- Other info: Opportunity to engage with regulators and drive continuous improvement in compliance practices.
- Why this job: Shape compliance strategy in a fast-paced fintech environment and make a real impact.
- Qualifications: 10+ years in Compliance, strong leadership skills, and deep knowledge of UK regulations.
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.
Key Responsibilities- 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. Provide robust oversight and constructive challenge to senior stakeholders across the organisation.
- 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.
- Passionate about delivering good customer outcomes and maintaining high standards of conduct.
Director of 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 of Compliance in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and financial services sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching the company’s compliance culture and recent regulatory changes. Tailor your responses to show how your experience aligns with their needs. We want you to shine, so practice common interview questions and scenarios related to compliance!
✨Tip Number 3
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Mention something specific from your conversation to show you were engaged and are genuinely interested in the role.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities that might just be perfect for you. Plus, it’s a great way to ensure your application gets seen by the right people. Let’s get you that Compliance Director role!
We think you need these skills to ace Director of Compliance in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Director role. Highlight your experience in compliance within financial services and any leadership roles you've held. We want to see how your background aligns with our mission of making investing simple and transparent.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how you can contribute to our team. Be sure to mention your experience with regulatory engagement and your ability to balance compliance with business objectives.
Showcase Your Leadership Skills: As a Compliance Director, you'll be leading a team, so make sure to highlight your leadership experience. Share examples of how you've developed high-performing teams and fostered a collaborative culture. We love seeing candidates who can inspire and coach others!
Apply Through Our Website: We encourage you to apply through our website for the best chance of getting noticed. It’s the easiest way for us to keep track of your application and ensure it reaches the right people. Plus, we love seeing candidates who take that extra step!
How to prepare for a job interview at Actus Search
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of UK financial services regulation and the Financial Conduct Authority's expectations. Be ready to discuss how your experience aligns with the compliance challenges faced by retail investment platforms.
✨Showcase Your Leadership Skills
Prepare examples that highlight your leadership capabilities, especially in building and developing high-performing teams. Think about specific situations where you've fostered a collaborative culture or coached team members to success.
✨Be Ready for Regulatory Scenarios
Anticipate questions around regulatory risk management and compliance frameworks. Have a few scenarios in mind where you've identified and managed regulatory risks effectively, and be prepared to discuss how you would approach similar situations in this role.
✨Engage with Stakeholders
Demonstrate your stakeholder management skills by preparing to discuss how you've influenced senior stakeholders in previous roles. Think about how you can balance regulatory requirements with business objectives and provide practical examples of your advisory work.