Compliance Director 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. 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 optimizing teams Comfortable managing senior technical staff and acting as the operational “engine” of compliance