Business Compliance, Clearing

Overview

Compliance Director - Clearing: A leading global financial institution is seeking a Compliance Director to join its London-based Clearing business. This pivotal role offers you the opportunity to shape and influence the compliance landscape of a highly respected clearing operation, supporting senior management in navigating complex regulatory environments. You will be at the heart of a collaborative and knowledgeable compliance team, where your expertise in conduct risk, data privacy, and regulatory frameworks will be valued and developed. The organisation is committed to fostering an inclusive and supportive environment, offering flexible working arrangements such as remote work up to two days per week, flexitime, and unpaid leave for reasonable requests. If you are passionate about upholding ethical standards, enjoy working across teams, and thrive on providing expert guidance in a dynamic setting, this is your chance to make a significant impact while enjoying genuine work-life balance. Play a key role in shaping compliance strategy and ensuring robust risk management across all aspects of the UK Clearing business line, with direct influence on senior leadership decisions. Benefit from flexible working opportunities including remote work (up to two days per week), flexitime, and support for unpaid leave requests, enabling you to balance professional growth with personal commitments. Join a supportive compliance function that values collaboration, ongoing training, and open communication-where your input on regulatory developments and best practices will help drive continuous improvement.

What you'll do

As Compliance Director - Clearing, you will play an instrumental role in guiding the organisation through an ever-evolving regulatory landscape. Your day-to-day responsibilities will see you collaborating closely with colleagues across departments to embed robust compliance processes that protect both clients and the business. You will be relied upon for your technical expertise in conduct risk management, data privacy regulations, and financial crime prevention-ensuring that every aspect of the clearing operation meets or exceeds industry standards. By delivering insightful training sessions, advising on complex projects, and representing compliance interests at committee meetings, you will help foster a culture of integrity while supporting continuous improvement. Your ability to communicate clearly with both internal teams and external stakeholders will be essential as you contribute to policy development, monitor regulatory changes, and provide practical solutions that keep the business ahead of emerging risks.

• Support the Head of Compliance in managing and overseeing the UK Clearing Compliance function, contributing to strategic direction and operational excellence.
• Develop and maintain the Conduct Risk framework for the UK Clearing business, ensuring senior management can identify and manage conduct risks effectively.
• Provide expert advice on UK data protection and data privacy matters, supporting both local and group-level compliance initiatives.
• Embed regulatory standards by assisting with the implementation of policies, procedures, and training activities that align with evolving legal requirements.
• Contribute to the design and development of regulatory risk management frameworks, ensuring best practices are consistently applied throughout the business.
• Deputise for the Head of Compliance at relevant committees, presenting reports on compliance matters and offering constructive challenge on key issues.
• Deliver face-to-face training sessions to first-line business teams, enhancing their understanding of governance obligations and regulatory requirements.
• Advise on key projects by providing clear guidance on current and emerging regulations to ensure full compliance across all business activities.
• Undertake comprehensive compliance monitoring and testing activities, incorporating findings into policy updates, training plans, or procedural improvements as needed.
• Engage with internal stakeholders at all levels-including senior management-and external bodies such as regulators or exchanges to ensure timely responses and alignment with expectations.

What you bring

To excel as Compliance Director - Clearing, you will bring a wealth of experience from regulated financial environments where your deep understanding of conduct risk frameworks has been honed through hands-on involvement in policy development and monitoring activities. Your background includes advising on complex regulatory matters-particularly those relating to data privacy-and supporting project teams through periods of change. You are known for your ability to communicate nuanced information clearly whether drafting reports for executive committees or delivering engaging training sessions. Your collaborative nature means you thrive when working alongside others towards shared goals; yet you are equally comfortable taking initiative when independent action is required. With a keen eye for detail and a forward-thinking approach to process efficiency, you consistently deliver results that enhance both compliance outcomes and overall business performance.

• Professional qualifications such as CISI Diploma or equivalent are required to demonstrate your commitment to high standards within financial services compliance.
• Comprehensive knowledge of the FCA Handbook alongside familiarity with key Exchange rules (including LME, LSE, ICE) is essential for effective oversight of clearing operations.
• Proven experience conducting broad compliance monitoring activities within a regulated financial environment ensures you can identify risks proactively.
• Exceptional written and verbal communication skills enable you to articulate complex regulatory issues clearly at all organisational levels.
• Demonstrated ability to resolve conflict tactfully while maintaining positive relationships with colleagues across multiple functions is vital for success in this role.
• Experience producing detailed documentation-including impact analyses-that supports informed decision-making by senior management is highly valued.
• A collaborative approach combined with strong interpersonal skills allows you to work effectively within teams while also operating independently when required.
• In-depth understanding of existing and emerging regulatory requirements relevant to clearing businesses ensures your advice remains current and actionable.
• Knowledge of data privacy frameworks enables you to support both local initiatives and broader group-level compliance efforts effectively.
• Excellent organisational skills paired with a proactive mindset allow you to manage competing priorities efficiently while driving process improvements.

What sets this company apart

This organisation stands out for its unwavering commitment to ethical standards and its focus on building a truly collaborative workplace culture. Employees benefit from flexible working arrangements designed around real-life needs-including remote work options up to two days per week-as well as flexitime schedules that promote healthy work-life integration. The company's dedication to professional development is evident through ongoing training opportunities that empower staff at every level. Here you'll find an inclusive environment where diverse perspectives are welcomed; teamwork is celebrated; and everyone's contribution is recognised as integral to collective success. The supportive leadership team encourages open dialogue around new ideas while providing clear guidance during times of change-making it an ideal place for those who value both stability and growth within their careers.

What's next

If you are ready to take your career in compliance leadership further within a supportive environment that values your expertise-this is your moment!

Apply today by clicking on the link provided-your next rewarding challenge awaits.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates

Additional job details

About the job

Contract Type: Permanent

Focus: Compliance

Workplace Type: Hybrid

Experience Level: Mid Management

Location: City of London

Industry: Financial Services

Salary: £120,000 - £150,000 per annum

FULL_TIME

Job Reference: LX0AS7-E0CEC72A

Date posted: 2025-09-02

Consultant: Emily Hamburg