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- Tasks: Lead and develop a high-performing Compliance team in a dynamic investment platform.
- Company: Join a UK-based investment platform making investing accessible for everyone.
- Benefits: Competitive salary, flexible working options, and opportunities for professional growth.
- 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 FunctionLead 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 ProgrammeOwn 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 PartneringAct 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 ManagementIdentify, 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 EngagementAct as a key point of contact with the Financial Conduct Authority, building strong, credible relationships. Lead regulatory interactions, including submissions, enquiries, and inspections.
Governance & ReportingOversee 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 OversightOwn and enhance Compliance-owned policies, processes, and controls, ensuring they remain fit for purpose. Drive continuous improvement across the Compliance framework.
QualificationsSignificant 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.
Interim Director in City of London employer: Actus Search
Contact Detail:
Actus Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Interim Director 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. We want you to shine, so practice common interview questions and have your own ready!
✨Tip Number 3
Showcase your leadership skills! Be ready to discuss how you've built and developed high-performing teams in the past. Use specific examples that highlight your ability to coach and mentor others, as this is key for the Compliance Director role.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our platform. Let’s get you that job!
We think you need these skills to ace Interim Director in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role of Interim Director. Highlight your experience in compliance, especially within financial services, and showcase any leadership roles you've held. We want to see how your background aligns with our client's 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 this role. Mention specific experiences that demonstrate your ability to lead a compliance team and manage regulatory relationships. Let us see your passion for making investing accessible!
Showcase Your Leadership Skills: Since this role involves leading a team, make sure to highlight your leadership capabilities. Share examples of how you've developed teams and fostered a collaborative culture. We love seeing candidates who can inspire and motivate others!
Apply Through Our Website: Don't forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our mission to make investing simple and transparent!
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 basics, but that you can navigate the complexities of compliance.
✨Showcase Your Leadership Skills
Prepare examples of how you've built and led high-performing teams in the past. Think about times when you coached team members or fostered a collaborative culture. This role is all about leadership, so be ready to demonstrate your capability in developing others and driving performance.
✨Be a Strategic Thinker
Think about how you would set the strategic direction for the Compliance function. Be prepared to discuss your approach to aligning compliance frameworks with business strategy and how you would ensure they remain effective and scalable. This shows that you’re not just reactive but proactive in your compliance approach.
✨Engage with Real Scenarios
Prepare to discuss real-life scenarios where you've managed regulatory risks or engaged with regulators. Highlight your experience in leading regulatory interactions and how you’ve built relationships with key stakeholders. This will demonstrate your practical understanding of the role and your ability to handle complex situations.