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Director of Compliance, Advisory & Regulation

Charterhouse

Job description / Role

Charterhouse are currently manging a search, on behalf of a leading financial services client, whom are in the process of looking to recruit a Compliance Director of Advisory & Regulation.

This role, sitting within a centralised compliance function, will act in support of the Regional Compliance Officer to oversee all day-to-day compliance and operational activities, staff management and also acting in the capacity of a Deputy Compliance Officer to ensure the succession and segregation of duties. This role has be heavily geared towards the management of regulatory risk, to ensure support to the business, whilst also assessing the associated risks extending to their customer/client base pertaining to either regulatory changes or operational/market analysis. In conjunction, this role will extend to the roll-out of regulatory projects and implementing any strategic projects, as a subject-matter-expert, on all compliance matters impacting across the regional jurisdiction and the communication with senior management within the business lines.

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