Director of Compliance

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.

If you think you are the right match for the following opportunity, apply after reading the complete description.

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. xwzovoh
• Passionate about delivering good customer outcomes and maintaining high standards of conduct.