Risk & Compliance Director

QED Legal Recruitment Limited; City of Edinburgh; Híbrido; GBP 120.000 - 180.000; Jornada completa

Descripción de la vacante

QED Legal Recruitment Limited seeks a Risk & Compliance Director to own the regulatory framework across its FCA-regulated activities in Glasgow/Edinburgh. Hybrid working offers senior leadership exposure and direct collaboration with Equity Partners and the firm’s leadership team.

The role requires leading the risk, compliance and regulatory framework, overseeing SMF16, and coordinating with the FCA on submissions, reporting and supervisory engagements. A strategic, influential leader is sought.

Formación

• Significant experience within risk and compliance in an FCA-regulated environment.
• Previous experience holding SMF16 responsibility, or operating at a comparable senior level.
• Strong knowledge of FCA regulations, SMCR and Consumer Duty.
• Experience leading compliance functions, teams and regulatory frameworks.

Responsabilidades

• Leading the firm's risk, compliance and regulatory framework.
• Holding SMF16 responsibility under the FCA's Senior Managers & Certification Regime.
• Overseeing FCA regulatory obligations, including Consumer Duty, SMCR and regulatory reporting.
• Managing relationships with the FCA, including regulatory submissions, notifications and supervisory engagement.
• Developing and maintaining compliance policies, procedures and internal controls.
• Leading and supporting the Risk & Compliance team.
• Overseeing the Training & Competence framework within the firm's regulated business areas.
• Working closely with the COLP, COFA and MLRO to ensure effective regulatory compliance across the business.
• Advising senior leadership on regulatory developments, emerging risks and compliance matters.

Descripción del empleo

Risk & Compliance Director

Glasgow / Edinburgh

Hybrid working

Are you an experienced Risk & Compliance professional looking for an opportunity to take ownership of regulatory compliance at a senior level?

I'm working with an established law firm looking to appoint a Risk & Compliance Director to lead its risk, compliance and regulatory framework across the business.

This is a senior leadership position offering the opportunity to influence strategy, oversee FCA regulatory obligations and work closely with the firm's Equity Partners and wider leadership team.

The Role?

As Risk & Compliance Director, you'll take responsibility for the firm's regulatory compliance framework, ensuring appropriate systems, controls and processes are in place across its regulated activities.

• Leading the firm's risk, compliance and regulatory framework.


• Holding SMF16 (Compliance Oversight) responsibility under the FCA's Senior Managers & Certification Regime.


• Overseeing FCA regulatory obligations, including Consumer Duty, SMCR and regulatory reporting.


• Managing relationships with the FCA, including regulatory submissions, notifications and supervisory engagement.


• Developing and maintaining compliance policies, procedures and internal controls.


• Leading and supporting the Risk & Compliance team.


• Overseeing the Training & Competence framework within the firm's regulated business areas.


• Working closely with the COLP, COFA and MLRO to ensure effective regulatory compliance across the business.


• Advising senior leadership on regulatory developments, emerging risks and compliance matters.

About You?

• Significant experience within risk and compliance in an FCA-regulated environment.


• Previous experience holding SMF16 responsibility, or operating at a comparable senior level.


• Strong knowledge of FCA regulations, SMCR and Consumer Duty.


• Experience leading compliance functions, teams and regulatory frameworks.


• A good understanding of regulatory governance, risk management and reporting.


• Strong stakeholder management skills, with experience advising senior leadership.


• Experience within financial services, legal services or another regulated professional services environment.

Previous experience within a law firm would be advantageous but is not essential.

What's in it for you?

• Competitive salary reflective of experience and seniority.


• Senior leadership position with direct access to Equity Partners and key decision-makers.


• Opportunity to shape the firm's risk, compliance and regulatory strategy.


• Autonomy to lead and develop the compliance function.


• Broad exposure across FCA-regulated activities and legal services.


• Join an established and well-respected law firm.