Director of Investment Compliance

  • Permanent
  • london,

Bruin Financial

Ref: 32288

Job title – Director of Investment Compliance


I am looking for a Director of Investment Compliance to join a well-established asset management firm on a permanent basis. The ideal candidate will have some experience within asset or wealth management and a proven background in risk, controls and compliance. You should also have experience of dealing with regulatory requests and be able to demonstrate risk awareness.



The role


  • Manages day to day risk and compliance activities as required by the business.
  • Lead projects and serve as the SME for Investments on regulatory and Governance initiatives.
  • Ensure Investment policies and processes are kept up to date with regulatory and legal change
  • Develop training material to educate Investments teams and key business partners.
  • Identify risks and implement solutions to enhance the team’s compliance and governance practices.
  • Help anticipate the changing legal and regulatory requirements that will impact the business.


Skill and experience



  • Deep understanding of policies, processes and operations across different functions within Investments
  • Track record of working with senior leaders and SMEs from across the business.
  • Experience in asset management / wealth management
  • Experience of partnering with Regulators.


Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons – men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

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