Director Regulatory Compliance
at Robert Half International UK

Date Posted: 17/03/2020

Job Description

Ref ID:  06030-0011377679

 The regulatory compliance team regularly deliver the following services to clients:

    • Regulatory impact assessment and gap analysis driven by regulatory change or change in business
    • Regulatory rules mapping and assessment of associated business controls
    • Designing and supporting effectiveness of Compliance functions
    • Preparing for supervisory/ thematic visits often reflecting current trends in supervisory priorities (i.e. Conduct Risk, Governance, Operational Resilience, Anti-Financial Crime) and mock interviews
    • Internal Audit, Risk, Business & Technology Consulting


  • Leading and generating sales opportunities with existing and new clients
  • Manages broad range of routine responsibilities on multiple client engagements related to client project management and business development activities
  • Effectively manages client relationships with senior personnel
  • Contributes to employee development by actively mentoring employees, creating development opportunities and initiating and conducting training
  • Demonstrates the ability to discuss technical and industry trends in specific projects/ industries
  • Demonstrates the ability to deliver specific product solutions to clients
  • Demonstrates expertise in specific technical areas and/ or industries
  • Assists Engagement Director/Managing Director in managing engagement risk (including) monitoring of costs, managing project timescales and ensuring activities are kept to agreed scope as well as the quality of deliverables)
  • Participates in recruiting efforts to support the business objectives
  • Enhances the business' market presence and exposure such as effective use of social media and development of own network in order to develop opportunities.
  • Assist with the development of the business' thought leadership white papers, FAQs and marketing materials with respect to topical or relevant governance, risk and compliance issues
  • Liaise with other offices globally to leverage off current contacts and to provide a considered and consistent approach to the market.


  • 10+ years working in internal audit, compliance, consulting, assurance services, or related field
  • Bachelor's degree in relevant discipline, 2:1 desirable and or relevant professional experience
  • Recognized knowledge and experience of one or more segments of the Financial Services Market with a comprehensive appreciation of the regulations and risks impacting those segments including:
    • SYSC and Senior Managers Regime, governance and the three-lines of defence governance model
    • Conduct risks such as product governance, financial promotions and marketing, suitability of sales and advice, affordability and vulnerability, client order handling, conflicts of interest, client reporting, complaints handling, pre and post trade compliance checks
    • Pre and post trade price transparency, regulatory reporting (MiFID II and EMIR)
    • CASS and safeguarding of assets
    • Financial crime (AML, Sanctions, ABC, Fraud and Market Abuse)
    • Data protection/privacy/security - GDPR
  • Recognised knowledge and understanding of the organisations and individuals within that market.
  • Experience within Advisory Consulting firms, with a specialism within compliance, governance and control, internal audit, or an experienced financial services compliance professional in industry and/or at the FCA (or equivalent regulatory agency in other jurisdictions), or a trade association
  • Demonstrate a highly professional approach to the work environment and client service delivery, including writing, presentational and project management skills.
  • Prior management and direct supervisory experience in a team environment.
  • Excellent verbal and written communication skills
  • Strong presentation skills
  • Proficiency in Microsoft Office suite applications with specific emphasis on Word, Excel,
  • PowerPoint, VISIO etc.

Salary & Benefits

  • Highly Competitive Salary
  • Annual Bonus
  • Flexible Working
  • Training programs and courses
  • 28 days A/L
  • Life Assurance
  • Medical & Dental Cover

The salary range/rates of pay is dependent upon your experience, qualifications or training.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Where rates of pay or salary ranges are detailed these are dependent upon your experience, qualifications or training. If you wish to apply for this position please read our Privacy Notice which details how we may use, process, store and disclose your Personal Information:

Job Snapshot

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