At a Glance
- Tasks: Lead compliance strategy and oversee regulatory relationships in a dynamic mortgage network.
- Company: Join Connect IFA Ltd, a respected FCA-authorised mortgage and insurance network.
- Benefits: Enjoy hybrid working, competitive salary, and investment in tools and professional growth.
- Other info: Opportunity to grow within a supportive leadership team and contribute to industry standards.
- Why this job: Be a key player in shaping compliance and making impactful decisions at the leadership level.
- Qualifications: Experience in compliance oversight with strong knowledge of relevant regulations.
The predicted salary is between 80000 - 100000 £ per year.
We're looking for a senior compliance leader to take over as Director of Compliance at Connect, an established, FCA-authorised mortgage and insurance network with a national community of Appointed Representatives, a direct-to-consumer advice arm, and the Connect Academy.
This is the kind of compliance role with a function that's been carefully built, a Board that genuinely values regulatory leadership, and a CEO who has personally led compliance and is now ready to hand it over to a senior professional she trusts to run it well.
Why this role
- A real seat at the leadership table. You'll report to the CEO, present to the Board, and contribute to commercial decisions, not just regulatory ones.
- SMF16 and SMF17. Subject to FCA approval, you'll hold both functions and own the FCA relationship.
- Capable compliance team across AR onboarding, risk and MI, and training and competence. Backing of MSS. Connect is part-owned by Mortgage Support Services, who also own Stonebridge, combining the resources of an established group with the agility of an independent firm.
- A CEO at the centre of the industry. Connect's CEO is also Chair of the Society of Mortgage Professionals.
- Investment in tools and people. AI-enabled file review tools in pilot, modern systems, and a real appetite for streamlining systems and processes.
- Hybrid working. Typically 3-4 days a week in our Hornchurch office, with some flexibility for the right candidate.
What you'll do
- Hold SMF16 (Compliance Oversight) and SMF17 (MLRO), subject to FCA approval.
- Lead Connect's relationship with the FCA.
- Own AR oversight end-to-end, onboarding, supervision, risk and offboarding.
- Continue Consumer Duty embedding across the network.
- Maintain the financial crime and AML framework.
- Lead and develop the compliance team.
What we're looking for
- Current or recent SMF16 experience (or strong second-line readiness to step up).
- Working knowledge of SUP 12, MCOB, ICOBS, SMCR, PRIN, SYSC, and Consumer Duty.
- Background in mortgages, protection, or intermediary distribution.
- Board-level credibility, with the willingness to engage with operational detail.
- Pragmatic, commercially aware, and ready to commit to a role you'll grow with for the long term.
Desirable
- CeMAP or equivalent mortgage qualifications.
- ICA Diploma in Governance, Risk & Compliance or Financial Crime or equivalent knowledge.
- Principal firm and AR network experience.
- Experience across second charge, buy-to-let, equity release, commercial or insurance distribution.
We're a small, focused leadership team and we'd rather hire the right person than the obvious person. If this sounds like a role you'd want to build a chapter of your career around, we'd love to hear from you.
Director of Compliance in Hornchurch employer: Connect for Intermediaries
Connect IFA Ltd is an exceptional employer that values regulatory leadership and offers a unique opportunity for professional growth within the compliance sector. With a supportive work culture, hybrid working arrangements, and a commitment to investing in both tools and people, employees can thrive in a dynamic environment while contributing to meaningful commercial decisions. Join a dedicated team where your expertise will be recognised and rewarded, all while being part of a respected network in the heart of Hornchurch, Essex.
Contact Details:
Connect for Intermediaries Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Director of Compliance in Hornchurch
✨Tip Number 1
Network like a pro! Reach out to industry contacts on LinkedIn or at events. A personal connection can make all the difference when it comes to landing that Director of Compliance role.
✨Tip Number 2
Prepare for the interview by knowing your stuff! Brush up on FCA regulations and be ready to discuss how you’d handle compliance challenges. Show them you’re not just a candidate, but the candidate.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After your interview, drop a thank-you email to express your appreciation and reiterate your enthusiasm for the role. It keeps you fresh in their minds.
✨Tip Number 4
Apply through our website! We want to see your application directly, and it shows you’re genuinely interested in joining our team at Connect. Plus, it makes it easier for us to keep track of your application.
We think you need these skills to ace Director of Compliance in Hornchurch
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Director of Compliance role. Highlight your relevant experience, especially any SMF16 or SMF17 roles you've held. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for Connect. Share your passion for compliance and how you can contribute to our team. Remember, we love a good story!
Showcase Your Leadership Skills:As a senior compliance leader, we need to see your leadership skills in action. Mention specific examples where you've led teams or projects successfully. This will help us understand how you can lead our compliance team effectively.
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you get all the updates directly from us. Plus, it shows you're keen on joining our team!
How to prepare for a job interview at Connect for Intermediaries
✨Know Your Regulations
Make sure you brush up on your knowledge of SUP 12, MCOB, ICOBS, and other relevant regulations. Being able to discuss these confidently will show that you're not just familiar with compliance but that you can lead the team effectively.
✨Showcase Your Leadership Skills
Prepare examples of how you've successfully led compliance initiatives in the past. Highlight your experience in engaging with boards and operational teams, as this role requires a strong presence at the leadership table.
✨Understand the Company Culture
Research Connect IFA Ltd and understand their values and mission. Be ready to discuss how your vision aligns with theirs, especially regarding investment in tools and people, and how you can contribute to their growth.
✨Prepare for Scenario Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about challenges you've faced in previous roles and how you navigated them, particularly in areas like financial crime and AML frameworks.
