Director of Compliance

Job DescriptionCompliance DirectorIDEX 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 RoleThis 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 youll be expected to operate at a senior, director level, partnering closely with senior stakeholders across the business.Key ResponsibilitiesDrive effective compliance operations and manage day-to-day workload across core teamsImplement and refine operational policies and proceduresTackle and resolve backlog and inefficiencies across functionsEnsure robust MI and reporting mechanismsCollaborate closely with the risk function, especially on operational risk mattersMaintain oversight of advice quality, ensuring regulatory standards are consistently metProvide mentoring and direction to managers and team leadsAbout YouProven leadership experience in compliance within a wealth or financial planning environmentStrong understanding of financial advice and regulatory frameworks (Level 4 qualified or Chartered preferred)Deep working knowledge of financial planning products and advice processProcess-driven and operationally strong, with a track record of building and optimizing teamsComfortable managing senior technical staff and acting as the operational engine of compliance

Created: 2025-06-17