Compliance Director
£90000 - £120000 + Bens


They are an award winning Wealth Manager / Finance platform are looking for a Compliance Director with Minimum of 5 years Senior Compliance experience. You must have SMF 3, 16 and 17 to be considered. Previous Wealth or asset management is highly desirable.


  • Be driven and determined to be part of a high-growth start-up team where you will have the opportunity to make a significant impact
  • To be prepared and be flexible in research through, knowledge and using industry contacts, to find answers where you may not have previous experience
  • Experience of working in financial services, ideally in D2C investment management, which will involve market abuse, best execution and the MiFID II requirements. With a sound knowledge of international expansions and pensions for UK investors
  • Inspiring Leader of a team and influencer at all levels of an organization
  • Deep knowledge of all areas of the FCA handbook and a good understanding of the HMRC ISA, JMLSG and GDPR guidance
  • The ability to restructure complex problems, making them more manageable, and to assist colleagues - with a service delivery attitude
  • Awareness of the changing regulatory landscape and the curiosity to find opportunities in technology, market developments, though these changes
  • At least 5 years of directly relevant experience and held SMF functions previously
  • Ideally have obtained industry qualifications relating compliance and risk management


  • To enjoy the responsibility of being a Compliance Director and utilises the FCA rule book to gain commercial advantage
  • Ensure the business does not 'Foot Fault' with regulatory requirements
  • Be fully aware of the key rules and regulations, namely but not limited to:

o Market abuse and trade reporting

o Advisory and Discretionary Management

o Best execution requirements

o CASS Oversight requirements (CF10a in old money)

  • Being proportionate to implementing a Compliance Framework to a 'startup' Company and implement a monitoring regime which will improve customer experience, be commercially sensitive, reduces cost and risks to our business
  • Passionate about fintech compliance, you will use your knowledge and experience to help formulate strategy, propose solutions and manage risk.
  • Being a 'Champion' to prevent our customers and the business being used for Financial Crime activity with engagement of law enforcement agencies and industry peers
  • A leader in product vision and marketing strategy through proactive engagement with the team members.
  • Understand the importance of good FCA engagement in keeping them informed of developments through both Regulatory Reporting and ad-hoc notifications.
  • Being part of the team delivering solution solving via expert advice and guidance.