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:

1. Own and develop a portfolio of key accounts, building deep, long-term relationships and creating exceptional levels of service and value.
2. Act as a trusted senior adviser on complex FCA and SEC regulatory matters, bringing commercial judgement as well as technical expertise.
3. Lead significant regulatory engagements, including FCA and SEC authorisations and registrations, Variations of Permission and Change in Control applications
4. Be a go-to Subject Matter Leader, providing insight and direction on complex or emerging regulatory issues.
5. Identify emerging themes and regulatory change that could create new propositions or commercial opportunities.
6. Originate new opportunities through your market presence, relationships and professional network.
7. Build and maintain a strong external network that generates insight, introductions and commercial opportunities.
8. Significant experience within financial services regulation, compliance consulting, professional services or a relevant regulated environment, with strong expertise in the Investment Firms sector
9. Deep knowledge of the FCA regulatory environment and the ability to confidently advise senior stakeholders on complex regulatory matters
10. Deep knowledge of FCA Investment Firm types and the regulatory frameworks applicable to them, including MiFID and AIFMD
11. 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.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

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