About the Role
ExpandJO Business Solutions Ltd. is looking for an experienced Director of Regulatory Compliance to join our team in Watford. This senior leadership position is responsible for developing, overseeing, and continuously improving the company’s regulatory compliance framework across its business operations and client services.
You will work closely with executive leadership, legal advisers, risk teams, operational managers, and external regulators to ensure that the organisation meets its legal, regulatory, and contractual obligations. The successful candidate will combine strategic leadership with strong knowledge of compliance governance, regulatory change, internal controls, investigations, and business risk.
Key Responsibilities
Regulatory Compliance Strategy: Develop and lead a comprehensive compliance strategy aligned with the company’s business objectives, risk appetite, and regulatory obligations.
Compliance Framework Management: Establish and maintain policies, procedures, controls, and governance structures that support effective regulatory compliance.
Regulatory Monitoring: Track changes in relevant UK regulations, industry standards, and legal requirements and ensure that the business responds appropriately.
Executive Advisory: Provide senior management and the board with clear advice on regulatory risks, compliance priorities, and emerging obligations.
Risk Assessments: Oversee regular compliance risk assessments across departments, services, business processes, and client activities.
Policy Development: Lead the creation, review, and implementation of compliance, conduct, governance, data protection, and operational risk policies.
Internal Controls: Ensure that appropriate controls are designed, documented, tested, and improved to reduce regulatory and operational exposure.
Audit and Assurance: Coordinate internal audits, external reviews, regulatory inspections, and client assurance activities.
Regulatory Reporting: Ensure that required reports, disclosures, notifications, and supporting documentation are accurate and submitted within agreed deadlines.
Investigations Management: Oversee investigations into potential breaches, control failures, complaints, misconduct, and other compliance concerns.
Remediation Oversight: Track corrective actions arising from audits, investigations, regulatory findings, and control reviews through to completion.
Training and Awareness: Develop and deliver compliance training programmes that help employees understand their responsibilities and expected standards of conduct.
Third Party Compliance: Assess the compliance arrangements of suppliers, contractors, partners, and outsourced service providers.
Compliance Reporting: Prepare regular reports on regulatory risks, incidents, monitoring results, remediation progress, and compliance performance.
Team Leadership: Recruit, lead, and develop compliance professionals while establishing clear objectives and accountability across the function.
What We Are Looking For
Experience: At least 10 years of experience in regulatory compliance, governance, legal risk, business assurance, or a related discipline.
Leadership Background: Previous experience leading a compliance function, managing senior stakeholders, and overseeing complex regulatory programmes.
Education: Bachelor’s degree in Law, Business Administration, Finance, Risk Management, Economics, or a related field.
Regulatory Knowledge: Strong understanding of UK regulatory requirements, corporate governance, internal controls, conduct risk, and compliance management practices.
Professional Qualifications: Relevant qualifications such as ICA, CII, ACAMS, legal accreditation, risk management certification, or equivalent are desirable.
Governance Experience: Proven ability to develop policies, manage compliance committees, prepare board reports, and support executive decision making.
Audit and Investigation Skills: Experience managing audits, regulatory reviews, internal investigations, and remediation programmes.
Commercial Awareness: Able to balance regulatory requirements with practical business priorities and operational realities.
Communication Skills: Confident presenting complex compliance matters to executives, clients, regulators, auditors, and non specialist teams.
Analytical Ability: Able to assess regulatory exposure, identify control weaknesses, and recommend proportionate corrective measures.
Decision Making: Demonstrates sound judgement, professional independence, and the ability to make difficult decisions when regulatory or reputational risks arise.
Professional Approach: Maintains integrity, confidentiality, accountability, and consistently high standards of conduct.
Pay: £95,000.00-£110,000.00 per year
Work Location: In person
