Compliance Director – Investment Management Consulting

We are recruiting for a specialist Compliance Consultancy firm looking to hire a Director in their Investment Management Team.

As a Director, you’ll play a pivotal leadership role in one of the core business areas, helping to shape its strategic direction, drive commercial performance and deliver exceptional outcomes for clients.

Job Requirements:

• Own and develop a portfolio of key accounts, building deep, long-term relationships and creating exceptional levels of service and value.




• Act as a trusted senior adviser on complex FCA and SEC regulatory matters, bringing commercial judgement as well as technical expertise.




• Lead significant regulatory engagements, including FCA and SEC authorisations and registrations, Variations of Permission and Change in Control applications




• Be a go-to Subject Matter Leader, providing insight and direction on complex or emerging regulatory issues.




• Identify emerging themes and regulatory change that could create new propositions or commercial opportunities.




• Originate new opportunities through your market presence, relationships and professional network.




• Build and maintain a strong external network that generates insight, introductions and commercial opportunities.




• Significant experience within financial services regulation, compliance consulting, professional services or a relevant regulated environment, with strong expertise in the Investment Firms sector




• Deep knowledge of the FCA regulatory environment and the ability to confidently advise senior stakeholders on complex regulatory matters




• Deep knowledge of FCA Investment Firm types and the regulatory frameworks applicable to them, including MiFID and AIFMD




• Experience of FCA and, ideally, SEC applications and regulatory processes relevant to Investment Firms.

Unless otherwise stated, candidates must have the right to work in the UK.

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