Compliance Director - Financial Services Regulatory

PURPOSE OF THE ROLEWe're looking for a Compliance Director to join our high performing and busy financial services regulatory compliance team. You will have the opportunity to work alongside our experienced compliance and legal professionals, gaining exposure to a wide range of financial services regulatory compliance and financial crime matters and contributing to the success of our clients.We are looking for someone with not only solid regulatory compliance experience (appropriate to their level of experience), but also experience with any or a combination of the following: authorisations and applications to the regulators, regulatory advisory support to clients on all aspects of the FCA and PRA handbooks, regulatory compliance support on corporate transactions, SMCR governance, covering all aspects of systems and controls advice.THE TEAMFinancial services is a common thread running through the majority of Addleshaw Goddard practice areas. Our Financial Regulation team is independently recognised as first rate and having "client focus and a pragmatic approach in complicated situations".The compliance team consists of experienced career compliance consultants with experience spanning both industry, Big 4 consultancies and are former regulators. The team advise on a broad range of issues ranging from authorisations of new entrants and mobilisation, through to supporting the restructuring and ring fence activities of a Tier 1 bank, noted for their technical rigour and practical support, our compliance team collaborate seamlessly with our lawyers to provide a comprehensive and unified advisory solution to clients.The team is part of the overall financial regulation team at AG which is well known for its market leading consumer finance practice and the successful candidate would be expected to support across credit, mortgages and payment sectors supporting the main partners with these clients. The regulatory compliance team was established over ten years ago and has grown in scale and stature and is recognised by clients for the depth of experience and expertise that we bring to our advice and for the practical nature of that advice.The team comprises both compliance consultants and lawyers and is fully integrated working together on client matters.WHAT TO EXPECT IN THIS ROLE? Collaborating closely with the team, you'll demonstrate strong leadership skills to mentor and guide, fostering a culture of collaboration and excellence.support of clients undertaking authorisation applications to FCA/PRA, drafting of regulatory business plans and policies in support of such applications and overall guidance to many new to market entrants to whom these regulatory requirements are very unfamiliar.Operate within a highly technical area, supporting all advice by relevant regulatory references, all drafting to be comparable with the standard of advice that we provide as a law firm and with the same technical accuracy.The role requires the ability to deliver quality work to multiple clients within tight timescales. An ability to manage and juggle workload is essential.Ideally, you will need to be operating at a senior level in your current role, within an authorised firm or compliance consultancy, able to demonstrate detailed technical understanding of both the relevant rules books and client application. An awareness of regulatory change and any upcoming regulatory deadlines would be beneficial to enable the candidate to support the business development and growth plans of the team.YOUR AREAS OF KNOWLEDGE AND EXPERTISEProviding advisory compliance support to key clients such as all of the Tier One banks, challenger banks, building societies, credit reference agencies, payment firms, mortgage administrators and asset finance firms a high street retailers, as well as supporting new entrants and smaller clients across all areas of financial services;You will deliver advisory support on permissions, governance, conduct rules as well as carrying out regulatory due diligence in support of corporate transactions;Provide PRA and FCA authorisation and application support across a range of firms; andParticipate in developing client relationships, marketing, knowledge sharing and practice development.Using a wide variety of technical, compliance and sector-specific skills, you will engage on projects for clients in areas such as:Governance, SMCR, consumer duty, compliance system assurance reviewsTechnical advice across the spectrum of the HandbookImplementation of compliance and risk management frameworksReview and recommendation of compliance and risk management systems and controls Technical support on regulatory change for example, consumer duty, appointed representatives, new requirements on product sales dataSupport of clients subject to close regulatory supervisionDelivery of specific training and preparing clients for regulatory visitsAdvising on reporting requirements and regulatory returnsMaintenance of sector knowledge to support ongoing client training and publicationsManaging regulatory enquiries and skilled person/shadow skilled person reviewsSupporting implementation and mobilisation as clients enter regulated activities or set up new business areasHave a detailed understanding of the authorisation and supervision process of the FCA and PRAPrevious experience of working in a law firm is advantageousUsing a wide variety of technical and sector-specific skills, you will engage on projects for clients in areas such as:Consumer credit assurance reviewsTechnical advice across the spectrum of the HandbookReview and recommendation of governance structures and board risk frameworks Technical support on regulatory change for example Consumer DutySupport of clients undergoing FCA investigationsDelivery of specific training and preparing clients for regulatory visitsDetailed technical documentation for reporting requirements and regulatory returnsMaintenance of sector knowledge to support ongoing client training and publicationsManaging regulatory enquiries, skilled person reviews and enforcement actionSupporting implementation and mobilisation as clients enter regulated activities or set up new business areasHave a detailed understanding of the authorisation and supervision process of the FCA and PRAOUR FIRMAddleshaw Goddard is a place where you are valued, encouraged, and challenged to fulfil your potential in a supportive and collegiate environment.  Our culture of improvement, growth and collaboration delivers results, drives innovation, and rewards ambition.We not only provide technical excellence and experience but, crucially, demonstrate real insight into our clients and what really matters to them and as such we are natural choice for FTSE100 clients and their equivalents in other markets.Our success has been built by people from the widest range of backgrounds, locations, and perspectives. We have a number of employee networks that provide space to discuss the differences that make us who we are and celebrate this at AG.OUR APPROACH: IMAGINE THE BEST YOU CAN BEEverything we've accomplished can be traced back to our people and the way we work. Our reputation is something we are proud of, and constantly invest in. Here, you'll do high calibre work, with high-character colleagues who care for one another and our clients.Are you up for the challenge?Salary:Competitive Location:Leeds, London Vacancy Type:Qualified Lawyers Business Area:Financial Regulation Contract Type:Permanent Full time/Part time:Full Time