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 your professional growth.
- Other info: Opportunity to shape your career in a supportive and innovative environment.
- Why this job: Be part of a leadership team that values your expertise and drives real change.
- Qualifications: Experience in compliance roles with strong knowledge of regulatory frameworks.
The predicted salary is between 75000 - 90000 £ 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 London 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 your career can flourish 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 London
✨Tip Number 1
Network like a pro! Get out there and connect with industry professionals, especially those in compliance. Attend events, join relevant groups, and don’t be shy about reaching out on LinkedIn. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by knowing your stuff! Research Connect IFA Ltd and understand their values, mission, and recent developments. Tailor your answers to show how your experience aligns with their needs, especially around compliance and regulatory leadership.
✨Tip Number 3
Showcase your expertise! Bring examples of your past work in compliance, particularly any experience with FCA relationships or leading teams. Use specific metrics or outcomes to demonstrate your impact – numbers speak volumes!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team at Connect. Let’s make it happen!
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 speaks directly to the role of Director of Compliance. Highlight your experience with SMF16 and SMF17, and any relevant regulatory knowledge. 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 leadership team. Remember, we love a personal touch!
Showcase Your Leadership Skills:As a senior compliance leader, we need to see your ability to lead and develop teams. In your application, mention specific examples of how you've successfully managed compliance functions or led teams in the past. We’re all about collaboration here!
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 the best experience. Plus, it shows you're keen on joining our team at Connect!
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 a compliance team or managed relationships with regulatory bodies in the past. This role is all about leadership, so demonstrating your experience in this area will be crucial.
✨Understand the Business
Get to grips with Connect's business model and how compliance fits into it. Be ready to discuss how you can contribute to commercial decisions, not just regulatory ones. This shows that you’re thinking beyond compliance.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's approach to compliance and their future plans. This not only shows your interest in the role but also your strategic thinking and willingness to engage with the leadership team.
