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- Tasks: Lead a team to enhance compliance operations and refine policies.
- Company: Join a leading wealth management firm focused on financial advice excellence.
- Benefits: Enjoy competitive salary, professional development, and a collaborative work culture.
- Why this job: Make a real impact in compliance while mentoring a dynamic team.
- Qualifications: Proven leadership in compliance with strong financial advice knowledge required.
- Other info: Ideal for those seeking a hands-on role at a senior level.
The predicted salary is between 43200 - 72000 £ per year.
IDEX are exclusively representing a wealth management firm seeking an experienced Compliance Director to lead and strengthen the first-line controls, oversee day-to-day compliance operations, and drive forward policy and procedural improvements. We are looking to speak to senior Risk and Compliance leaders with a strong operational mindset and deep understanding of financial advice processes.
This is a leadership position and you will lead a team of 10+ professionals. This is a senior, hands-on position, ideal for someone who can combine technical compliance expertise with operational delivery. You will not hold SMF16, but you’ll be expected to operate at a senior, director level, partnering closely with senior stakeholders across the business.
Key Responsibilities- Drive effective compliance operations and manage day-to-day workload across core teams
- Implement and refine operational policies and procedures
- Tackle and resolve backlog and inefficiencies across functions
- Ensure robust MI and reporting mechanisms
- Collaborate closely with the risk function, especially on operational risk matters
- Maintain oversight of advice quality, ensuring regulatory standards are consistently met
- Provide mentoring and direction to managers and team leads
- Proven leadership experience in compliance within a wealth or financial planning environment
- Strong understanding of financial advice and regulatory frameworks (Level 4 qualified or Chartered preferred)
- Deep working knowledge of financial planning products and advice process
- Process-driven and operationally strong, with a track record of building and optimizing teams
- Comfortable managing senior technical staff and acting as the operational “engine” of compliance
Director of Compliance employer: IDEX Consulting Ltd
Contact Detail:
IDEX Consulting Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Director of Compliance
✨Tip Number 1
Network with professionals in the wealth management and compliance sectors. Attend industry events, webinars, or local meetups to connect with potential colleagues or mentors who can provide insights into the role and company culture.
✨Tip Number 2
Familiarise yourself with the latest regulatory changes and compliance trends in the financial services industry. This knowledge will not only help you in interviews but also demonstrate your commitment to staying current in the field.
✨Tip Number 3
Prepare to discuss specific examples of how you've improved compliance processes in previous roles. Highlight your operational mindset and any successful initiatives you've led that align with the responsibilities outlined in the job description.
✨Tip Number 4
Research the company’s values and recent developments. Tailor your conversations during interviews to reflect how your experience and leadership style align with their goals, particularly in enhancing compliance operations and team performance.
We think you need these skills to ace Director of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your leadership experience in compliance, particularly within wealth management or financial planning. Emphasise your operational mindset and any relevant qualifications, such as Level 4 or Chartered status.
Craft a Compelling Cover Letter: In your cover letter, address the key responsibilities outlined in the job description. Discuss how your experience aligns with driving effective compliance operations and managing teams, and provide specific examples of past successes.
Showcase Your Technical Expertise: Demonstrate your deep understanding of financial advice processes and regulatory frameworks. Use industry-specific language to convey your knowledge and ensure you highlight any relevant achievements in compliance operations.
Prepare for Potential Questions: Anticipate questions related to your experience in managing compliance teams and resolving operational inefficiencies. Be ready to discuss your approach to mentoring staff and collaborating with senior stakeholders.
How to prepare for a job interview at IDEX Consulting Ltd
✨Showcase Your Leadership Experience
As a Compliance Director, you'll need to demonstrate your proven leadership experience. Prepare specific examples of how you've successfully led teams in the past, focusing on your ability to mentor and direct managers and team leads.
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of financial advice and regulatory frameworks. Be ready to discuss how your qualifications, such as being Level 4 qualified or Chartered, have equipped you to navigate these complexities effectively.
✨Highlight Operational Improvements
Since the role involves refining operational policies and procedures, come prepared with examples of how you've tackled inefficiencies in previous roles. Discuss specific strategies you've implemented to enhance compliance operations.
✨Prepare for Stakeholder Collaboration
This position requires close collaboration with senior stakeholders. Think about instances where you've partnered with other departments to achieve compliance goals, and be ready to share how you fostered those relationships.
