Compliance Director

Compliance Director – Boutique Wealth Management Firm

London (4 days office / 1 day home)

£135k–£145k + 10% pension + private healthcare.

The Opportunity

A leading wealth management firm is seeking an experienced and commercially minded Compliance Director to lead its compliance function, replacing the outgoing officer. This is a senior leadership role with SMF16/17 responsibilities.

Key Responsibilities

• Lead all aspects of regulatory compliance, covering FCA, AML, MiFID II, and Consumer Duty requirements.
• Act as SMF16/17, reporting into the CEO.
• Mentor and manage the Compliance function, fostering a strong compliance culture.
• Navigate the business through a period of transformation as new ownership increases its control and implements a strategic plan.
• Enhance compliance’s role within the business, ensuring it supports commercial objectives.

What We’re Looking For

• 15–20 years of compliance experience within wealth management or financial services.
• Strong AML expertise, particularly relevant for evolving business requirements.
• Exposure to US regulation would be highly advantageous.
• Experience with Swiss banks or the Swiss regulatory environment is desirable.
• A commercially astute, down-to-earth, and culturally aligned leader.
• Proven ability to influence senior stakeholders and communicate effectively.
• Minimum CISI Level 4 qualification, with Level 6 or equivalent preferred.

Apply now to be considered for this opportunity.