Compliance Director - Capital Markets Consulting

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Candidate Source
£80,000 to £100,000 Per Annum
City Of London
Job Type
Permanent/Full Time
Date Posted
9th November 2017

Job Description

A market leading compliance consultancy providing regulatory support to PRA and FCA regulated firms in the banking, capital markets, asset management, payments, credit and insurance sectors is seeking a Compliance Director to join its expanding team.

Over the last 12 years, it has gradually built its client base, market reputation and internal capability.  In addition to its highly rated advisory services, it now also has a strong RegTech presence, with a suite of technology enabled RegTech services. This is an outstanding opportunity for an experienced Consultant looking to take their career to the next stage. 

As the Compliance Director your duties will include:

  • Supporting the company’s values, as a manager and Client Director, promoting the quality agenda, and delivering added value for clients.
  • Leading a small consultancy team with a current portfolio of around 80 clients, managing a substantial income base.
  • P&L responsibility for the city markets team, managing resources and profitable growth.
  • Managing resourcing and client delivery on a day to day basis, ensuring delivery of the highest possible standards.
  • Maintaining high levels of client relationships, working directly with clients to establish their needs, and making appropriate proposals to satisfy those, and leading the project team through to completion of those projects.
  • Providing advice and demonstrate the highest levels of technical expertise directly to clients and in support of the team to the wider client base.
  • Maintaining a strong awareness of the role of technology in regulation and identify key RegTech sectors.
  • Maintaining market leading levels of technical expertise across primary investment sectors:  capital markets, fund management, discretionary management, retail investment.
  • Working with the broader management team to develop new services and take them to market.
 To be a successful Compliance Director you will have the following skills and experience:

  • Commercial financial services experience, with at least five years hands-on compliance experience and a minimum of three years within an established consultancy.
  • Outstanding consultancy skills, with the ability to define client delivery processes and action projects to high standards for all routine assignments: gap analysis, project / change management and the definition of fit for purpose risk / governance frameworks.
  • Maintain an outstanding awareness of the current FCA rulebook, underlining laws/directives and, most importantly, has the ability to interpret, apply and communicate these in a wide range of commercial situations.
  • Strong people management and coaching skills, with the ability to lead and develop a team
  • A robust understanding of commercial budgeting processes and high financial awareness
  • A highly professional approach, excellent communication and time management skills and strong attention to detail
  • Appropriate professional qualifications are highly desirable, which might include any of ACA, ACCA, LLM, MBA and/or industry qualifications.
 In return, the Director will receive a salary of £80,000 - £100,000 per annum plus many benefits.  The first stage of the application process is to apply online. Candidate Source Ltd is an Advertising Agency working on behalf of an Employment Agency. By applying for this position you are giving us permission to pass your CV and covering letter to a third party in relation to this specific vacancy. A full copy of our privacy policy can be viewed on our website.

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