Compliance Director - Investment Management Consulting

About the role

We are recruiting for a specialist compliance consultancy firm to hire a Director for its Investment Management team. The role provides senior leadership, shaping strategic direction, driving commercial performance and delivering exceptional outcomes for clients.

Key responsibilities

• Own and develop a portfolio of key accounts, building deep, long‑term relationships and delivering high‑value service.
• Act as a trusted senior adviser on complex FCA and SEC regulatory matters, combining commercial judgement with technical expertise.
• Lead significant regulatory engagements, including FCA and SEC authorisations, registrations, Variations of Permission and Change in Control applications.
• Serve as a Subject Matter Leader, offering insight and direction on complex or emerging regulatory issues.
• Identify emerging regulatory themes and changes that could create new propositions or commercial opportunities.
• Originate new business opportunities through market presence, relationships and professional network.
• Build and maintain a strong external network that generates insight, introductions and commercial opportunities.

Required profile

• Significant experience in financial services regulation, compliance consulting, professional services or a relevant regulated environment, with strong expertise in the Investment Firms sector.
• Deep knowledge of the FCA regulatory environment and ability to advise senior stakeholders on complex regulatory matters.
• Extensive understanding of FCA Investment Firm types and applicable frameworks, including MiFID and AIFMD.
• Experience with FCA and, ideally, SEC applications and regulatory processes relevant to Investment Firms.