Compliance Director
Are you a Senior Compliance Leader with a strong operational mindset and deep understanding of financial advice processes? 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. The role This is a leadership position and you will lead a team of 10+ professionalsThis 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 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 leads About you Proven 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 optimising teamsComfortable managing senior technical staff and acting as the operational "engine" of compliance Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.
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