Director of Compliance
3 days ago
London
Our client is a UK-based investment platform offering trading in stocks, ETFs, and other assets. It aims to make investing simple, transparent, and accessible to a broad retail audience. The Compliance Director will be a direct report to the Chief Risk Officer. Key Responsibilities • Leadership of the Compliance Function Lead and develop the Compliance team across multiple locations, fostering a high-performance, collaborative culture., • Directly manage and oversee the Compliance Monitoring team, ensuring delivery of a risk-based monitoring plan, high-quality reviews, and timely remediation of findings., • Coach and develop team members, building both technical capability and leadership strength., • Ownership of the Compliance Programme Own and deliver the Compliance framework, ensuring it remains effective, scalable, and aligned to regulatory expectations and business strategy., • Set the strategic direction for Compliance, including policy, advisory, monitoring, and reporting activities., • Regulatory Advisory & Business Partnering Act as the senior Compliance advisor to the business, providing pragmatic, commercially aware guidance on regulatory matters., • Lead Compliance Advisory activity across product, engineering, and operations teams, supporting new product development, strategic initiatives, and regulatory change., • Provide robust oversight and constructive challenge to senior stakeholders across the organisation., • Regulatory Risk Management Identify, assess, and manage key areas of regulatory risk, ensuring appropriate controls and mitigations are in place., • Oversee compliance reviews, controls testing, and thematic assessments, ensuring issues are identified, escalated, and resolved effectively., • Regulatory Engagement Act as a key point of contact with the Financial Conduct Authority, building strong, credible relationships., • Lead regulatory interactions, including submissions, enquiries, and inspections., • Governance & Reporting Oversee the production of high-quality Compliance MI and reports for senior management and governance forums., • Provide clear insights on compliance risks, trends, and emerging regulatory developments., • Policy & Framework Oversight Own and enhance Compliance-owned policies, processes, and controls, ensuring they remain fit for purpose., • Drive continuous improvement across the Compliance framework. About You • Significant experience (typically 10+ years) in Compliance within financial services, with deep exposure to retail investments., • Proven track record in a senior Compliance leadership role, ideally within a retail investment broker, fintech, or high-growth regulated firm., • Strong technical knowledge of UK financial services regulation and Financial Conduct Authority expectations., • Experience engaging directly with regulators and managing regulatory relationships., • Strong leadership capability, with experience building, developing, and leading high-performing teams., • Commercially minded, able to balance regulatory requirements with business objectives., • Excellent stakeholder management and communication skills, with the ability to influence at Executive and Board level., • Passionate about delivering good customer outcomes and maintaining high standards of conduct.