Job Description
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