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- Tasks: Lead and develop the Compliance team, ensuring effective regulatory frameworks and risk management.
- Company: Dynamic UK-based investment platform making investing accessible for everyone.
- Benefits: Competitive salary, leadership development, and a collaborative work culture.
- Other info: Opportunity to influence at Executive level and drive positive customer outcomes.
- Why this job: Join a high-growth firm and shape the future of compliance in financial services.
- 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.
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 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 London
✨Tip Number 1
Network like a pro! Get out there and connect with people in the compliance and financial services sectors. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on your dream job!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance culture. Understand their values and how they align with your experience. Be ready to discuss how you can lead their Compliance team and enhance their framework. Show them you’re not just a fit, but the perfect fit!
✨Tip Number 3
Practice your pitch! You’ll want to clearly articulate your experience in compliance and how it relates to the role. Highlight your leadership skills and your ability to manage regulatory relationships. A confident delivery can make all the difference in landing that role.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of resources to help you ace your application and get noticed. Plus, applying directly shows your enthusiasm for the role and gives you a better chance of standing out from the crowd.
We think you need these skills to ace Director of Compliance in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Director role. Highlight your experience in 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 accessible.
Craft a Compelling Cover Letter: Your cover letter should tell us why you're the perfect fit for this role. Share specific examples of your achievements in compliance and how you've led teams to success. Remember, we love a good story that showcases your passion for compliance!
Showcase Your Regulatory Knowledge: Since this role involves a lot of regulatory engagement, make sure to highlight your knowledge of UK financial services regulation. We want to know how you've navigated complex regulatory landscapes and built relationships with regulators in the past.
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 us you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Actus Search
✨Know Your Regulations
Make sure you brush up on UK financial services regulations and the expectations of the Financial Conduct Authority. Being able to discuss these confidently will show that you’re not just familiar with compliance but are also ready to lead the charge in ensuring the company meets its regulatory obligations.
✨Showcase Your Leadership Skills
Prepare examples of how you've built and developed high-performing teams in your previous roles. Highlight specific instances where your leadership made a difference, especially in fostering a collaborative culture. This will demonstrate your capability to lead the Compliance function effectively.
✨Be Ready for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Think about how you would identify, assess, and manage regulatory risks. Practising these scenarios can help you articulate your thought process clearly during the interview.
✨Engage with Stakeholders
Prepare to discuss how you’ve successfully managed relationships with senior stakeholders and regulators in the past. Be ready to share your approach to providing pragmatic, commercially aware guidance, as this is crucial for the role. Strong communication skills will be key here!