Compliance Director - Financial Services Regulatory

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Compliance Director - Financial Services Regulatory, London

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Client:

Location:

London, United Kingdom

Job Category:

Finance

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EU work permit required:

Yes

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Job Reference:

73b7de9234f9

Job Views:

5

Posted:

26.04.2025

Expiry Date:

10.06.2025

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Job Description:

PURPOSE OF THE ROLE

• We're seeking a Compliance Director to join our dynamic financial services regulatory compliance team. You will collaborate with experienced compliance and legal professionals, gaining exposure to various financial services regulatory compliance and financial crime issues, contributing to client success.
• Applications from candidates based in Leeds or London are welcome. The firm supports a hybrid working model, with an expectation of three days in the office weekly.
• Ideal candidates will have solid regulatory compliance experience relevant to their career level, with familiarity in areas such as regulator authorisations, FCA and PRA handbook advisory, corporate transaction compliance, SMCR governance, and systems and controls advice.

THE TEAM

• Our Financial Regulation team is recognized for its client focus and pragmatic approach in complex situations, with a diverse team of experienced compliance consultants and lawyers.
• The team advises on a broad spectrum of issues, including authorisations, restructuring, and regulatory support, collaborating closely with lawyers to deliver comprehensive advice.
• Established over ten years ago, the team is known for its expertise and practical support across credit, mortgages, and payment sectors, supporting main partners and clients.

WHAT TO EXPECT IN THIS ROLE?

• Lead and mentor team members, fostering collaboration and excellence.
• Support clients in FCA/PRA authorisation applications, drafting regulatory business plans and policies, and guiding new market entrants.
• Operate within a highly technical environment, ensuring advice and documentation meet professional standards with technical precision.
• Manage multiple client projects within tight deadlines, demonstrating strong workload management skills.
• Operate at a senior level, with detailed knowledge of relevant rules and client application processes, and stay updated on regulatory changes.

YOUR AREAS OF KNOWLEDGE AND EXPERTISE

• Provide compliance support to key clients across various sectors, including banks, challenger banks, credit agencies, and new entrants.
• Advise on permissions, governance, conduct rules, and conduct due diligence for transactions.
• Assist with PRA and FCA authorisation processes and develop client relationships through marketing and knowledge sharing.
• Engage in projects involving technical advice, compliance frameworks, regulatory change support, and client training.
• Maintain sector knowledge for ongoing client support and publications.
• Manage regulatory inquiries, skilled person reviews, and enforcement actions.
• Support client onboarding and new business setup in regulated activities.
• Possess a detailed understanding of FCA and PRA authorisation and supervision processes. Experience in law firms is advantageous.

Additional project areas include consumer credit reviews, governance structures, regulatory change support, investigations, training, and compliance documentation.

OUR FIRM

Addleshaw Goddard offers a supportive environment that encourages growth, collaboration, and innovation. We serve FTSE100 clients and value diversity, with employee networks that celebrate differences.

OUR APPROACH: IMAGINE THE BEST YOU CAN BE

Our success is driven by our people and their work ethic. We aim to provide high-quality work with colleagues who care about each other and clients.