At a Glance
- Tasks: Lead risk and compliance functions, ensuring top-notch governance and consumer protection.
- Company: Reputable professional services firm with a strong compliance culture.
- Benefits: Permanent, full-time role with competitive salary and career advancement opportunities.
- Other info: Based in Glasgow or Edinburgh, with a dynamic work environment.
- Why this job: Shape compliance culture and make a real impact in a senior leadership position.
- Qualifications: Extensive experience in compliance and strong understanding of FCA regulations.
The predicted salary is between 41483 - 50701 £ per year.
Read all the information about this opportunity carefully, then use the application button below to send your CV and application.
Location: Glasgow (preferred) or Edinburgh
Employment Type: Permanent, Full-Time
About the Opportunity
We are currently recruiting on behalf of our client, an established and highly regarded professional services firm, for an experienced Risk & Compliance Director to lead their risk, compliance and regulatory functions. This is a senior leadership opportunity for an accomplished compliance professional to take ownership of the firm's regulatory framework, ensuring the highest standards of governance, regulatory compliance and consumer protection across its business operations. The successful candidate will play a key role in shaping and maintaining a strong compliance culture, working closely with senior stakeholders to ensure regulatory obligations are consistently met. The position will involve holding SMF16 (Compliance Oversight) responsibilities and supporting the firm's SMF17 (Money Laundering Reporting Officer) function. Our client would ideally like the successful candidate to be based in Glasgow, although applications from candidates based in Edinburgh will also be considered.
Key Responsibilities
- Provide strategic leadership and oversight of the firm's risk, compliance and regulatory frameworks.
- Promote a strong culture of compliance, ethical conduct and consumer protection across the organisation.
- Ensure ongoing compliance with FCA regulations, including Consumer Duty, SMCR and relevant Threshold Conditions.
- Hold SMF16 responsibility, overseeing regulatory compliance and maintaining effective relationships with the FCA.
- Lead and develop the risk and compliance function, ensuring effective delivery of regulatory assurance and governance.
- Develop, implement and regularly review compliance policies, procedures, systems and internal controls.
- Ensure regulated business activities operate in accordance with relevant FCA permissions and regulatory requirements.
- Oversee regulatory reporting, FCA notifications and submissions, ensuring accuracy and adherence to deadlines.
- Monitor regulatory and legislative developments, assessing their impact and implementing appropriate changes.
- Produce and review management information, identifying potential compliance risks, trends and areas for improvement.
- Work collaboratively with senior leadership and relevant regulatory officers to ensure wider professional and legal compliance obligations are met.
- Support the management of financial crime risks, including anti-money laundering controls and procedures.
- Ensure appropriate oversight of data protection, information security and record retention requirements.
- Maintain and oversee relevant Training & Competence frameworks, ensuring appropriate standards across regulated business areas.
About You
We are looking for an experienced compliance professional with a strong understanding of FCA regulations and the ability to operate effectively at a senior level.
Risk & Compliance Director employer: Avenue Scotland
Avenue Recruitment is an excellent employer, offering a supportive work culture that prioritises safety and teamwork on site. With competitive pay rates and opportunities for skill development, employees can thrive in their roles while contributing to exciting demolition projects in Penicuik. Join us for meaningful work that values your expertise and fosters professional growth.
StudySmarter Expert Advice🤫
We think this is how you could land Risk & Compliance Director
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Avenue Scotland looking for candidates who are engaged and informed.
We think you need these skills to ace Risk & Compliance Director
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Avenue Scotland. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Avenue Scotland
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Avenue Scotland’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
