Risk & Compliance Director

Avenue Recruitment; Glasgow; On-site; GBP 120,000 - 180,000; Full time

Job summary

Avenue Recruitment is seeking a Risk & Compliance Director in Glasgow to lead the firm's risk, compliance and regulatory functions. The role focuses on SME oversight, governance, and a strong compliance culture across the business.

You will work with senior stakeholders to ensure FCA obligations are met, including SMF16 responsibilities and supporting the LMRO function where applicable. Based in Glasgow with Edinburgh considered.

Qualifications

• Experience in FCA-regulated environment with SMF16 responsibilities.
• Strong knowledge of governance, risk and compliance frameworks.

Responsibilities

• Provide strategic leadership and oversight of risk, compliance and regulatory frameworks.
• Promote a culture of compliance and consumer protection across the organisation.
• Ensure ongoing FCA regulatory compliance including Consumer Duty and SMCR.
• Hold SMF16 responsibility and support SMF17/Money Laundering Reporting Officer functions.
• Lead and develop the risk and compliance function and governance delivery.
• Develop, implement and review compliance policies, procedures and controls.
• Oversee regulated activities to ensure FCA permissions and regulatory requirements.
• Manage regulatory reporting, FCA notifications and submissions on deadlines.
• Monitor regulatory developments and implement changes as needed.
• Produce MI on risks and trends for improvement.
• Collaborate with senior leadership and regulators to meet obligations.
• Support management of financial crime controls and data protection oversight.
• Maintain Training & Competence frameworks across regulated areas.

Skills

FCA regulations knowledge

Senior leadership

Stakeholder management

Regulatory reporting

Education

Professional qualification in governance, risk or compliance

Job description

Risk & Compliance Director (BBBH13590) Glasgow, Scotland

Risk & Compliance Director

Location: Glasgow (preferred) or Edinburgh
Employment Type: Permanent, Full-Time

About the Opportunity

We are currently recruiting on behalf of our client, an established and highly regarded professional services firm, for an experienced Risk & Compliance Director to lead their risk, compliance and regulatory functions.

This is a senior leadership opportunity for an accomplished compliance professional to take ownership of the firm's regulatory framework, ensuring the highest standards of governance, regulatory compliance and consumer protection across its business operations.

The successful candidate will play a key role in shaping and maintaining a strong compliance culture, working closely with senior stakeholders to ensure regulatory obligations are consistently met.
The position will involve holding SMF16 (Compliance Oversight) responsibilities and supporting the firm's SMF17 (Money Laundering Reporting Officer) function.

Our client would ideally like the successful candidate to be based in Glasgow, although applications from candidates based in Edinburgh will also be considered.

Key Responsibilities

• Provide strategic leadership and oversight of the firm's risk, compliance and regulatory frameworks.
• Promote a strong culture of compliance, ethical conduct and consumer protection across the organisation.
• Ensure ongoing compliance with FCA regulations, including Consumer Duty, SMCR and relevant Threshold Conditions.
• Hold SMF16 responsibility, overseeing regulatory compliance and maintaining effective relationships with the FCA.
• Lead and develop the risk and compliance function, ensuring effective delivery of regulatory assurance and governance.
• Develop, implement and regularly review compliance policies, procedures, systems and internal controls.
• Ensure regulated business activities operate in accordance with relevant FCA permissions and regulatory requirements.
• Oversee regulatory reporting, FCA notifications and submissions, ensuring accuracy and adherence to deadlines.
• Monitor regulatory and legislative developments, assessing their impact and implementing appropriate changes.
• Produce and review management information, identifying potential compliance risks, trends and areas for improvement.
• Work collaboratively with senior leadership and relevant regulatory officers to ensure wider professional and legal compliance obligations are met.
• Support the management of financial crime risks, including anti-money laundering controls and procedures.
• Ensure appropriate oversight of data protection, information security and record retention requirements.
• Maintain and oversee relevant Training & Competence frameworks, ensuring appropriate standards across regulated business areas.

About You

We are looking for an experienced compliance professional with a strong understanding of FCA regulations and the ability to operate effectively at a senior management level.

• Previous experience within a senior compliance role in an FCA-regulated environment, ideally holding SMF16 responsibilities.
• Strong knowledge of FCA regulations, regulatory frameworks and compliance requirements.
• Thorough understanding of the Senior Managers & Certification Regime (SMCR).
• Experience managing compliance operations, regulatory reporting and internal controls.
• Ability to interpret regulatory requirements and implement practical compliance solutions.
• Experience developing policies, procedures and governance frameworks.
• Strong stakeholder management skills, with the confidence to engage with senior leadership and regulatory bodies.
• Excellent written and verbal communication skills.
• Strong organisational skills, analytical ability and attention to detail.

Desirable Experience & Qualifications:

• Previous experience within a legal or professional services environment.
• Knowledge of legal regulatory requirements, including the Solicitors Regulation Authority (SRA) or Law Society of Scotland.
• Experience managing regulatory change and implementing improvements to compliance frameworks.
• A professional qualification in governance, risk or compliance.

The Opportunity

This is an excellent opportunity to join an established organisation in a senior, influential position where you will have the autonomy to shape compliance strategy and contribute to the firm's continued development.

Our client is seeking a proactive, commercially aware individual who can balance regulatory obligations with business objectives while maintaining the highest standards of professional conduct.