Are you a Senior Compliance Leader with a strong operational mindset and deep understanding of financial advice processes? 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.
The role
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
About you
* 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 optimising teams
* Comfortable managing senior technical staff and acting as the operational "engine" of compliance
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At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
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