Head of Compliance

𝗛𝗲𝗮𝗱 𝗼𝗳 𝗖𝗼𝗺𝗽𝗹𝗶𝗮𝗻𝗰𝗲 / 𝗠𝗟𝗥𝗢 – 𝗠𝘂𝗹𝘁𝗶-𝗙𝗮𝗺𝗶𝗹𝘆 𝗢𝗳𝗳𝗶𝗰𝗲, 𝗟𝗼𝗻𝗱𝗼𝗻

Our client, a blue-chip multi-family office, is seeking a Head of Compliance / MLRO to take ownership of both compliance oversight and anti-money laundering functions. This is a hands-on leadership role in which you will design and implement the compliance framework, policies, and culture that will underpin the firm\’s operations. This is an opportunity to join a firm that combines cutting-edge technology with first-rate investment expertise, offering bespoke solutions across public and alternative markets, including private equity, hedge funds, and co-investments.

This position offers a unique opportunity to build a compliance programme almost from scratch, influence the company’s direction, and grow into a senior leader as the company scales. The ideal candidate is execution-focused and not afraid to roll up their sleeves. The Head of Compliance is as much a doer as a strategist.

𝗞𝗲𝘆 𝗥𝗲𝘀𝗽𝗼𝗻𝘀𝗶𝗯𝗶𝗹𝗶𝘁𝗶𝗲𝘀

• Regulatory Compliance Programme: Develop, implement, and continuously update the firm\’s compliance policies and procedures to ensure full adherence to FCA regulations and relevant laws. Establish a compliance monitoring programme and a compliance manual tailored to an FCA-regulated investment firm (covering SYSC, COBS, AML, etc., as applicable).

• FCA Licence & Ongoing Oversight: Lead the compliance workstream for the firm’s FCA investment firm licence application. Liaise with the FCA during the authorisation process, providing all required documentation and assurances. Post-licence, act as the primary point of contact for the FCA and other regulators – handling regulatory returns, notifications, and any inquiries or inspections.

• SMF16 – Compliance Oversight: Serve as the Compliance Oversight function (SMF16), with overall responsibility for the firm’s compliance with FCA requirements.

• SMF17 – Money Laundering Reporting Officer: Serve as the MLRO (SMF17). Oversee all anti-money laundering and counter-terrorist financing efforts, including KYC/CDD for client onboarding, transaction monitoring, and investigations of any suspicious activity.

• Policy Development & Implementation: Draft and enforce internal policies on gifts and hospitality, conflicts of interest, personal account dealing, data protection, fraud prevention, and other areas pertinent to a wealth management platform.

𝗧𝗵𝗲 𝗜𝗱𝗲𝗮𝗹 𝗖𝗮𝗻𝗱𝗶𝗱𝗮𝘁𝗲

• 7+ years of experience in compliance and financial crime roles within financial services. Ideally, this includes time spent in wealth management firms.

• Prior role as a Compliance Manager, Deputy Head of Compliance, or Deputy MLRO in a regulated firm.

• A Bachelor’s degree (or higher) in Law, Finance, Business, or a related field is preferred. Professional compliance certifications are a plus – for example, an ICA Diploma in Compliance or Anti-Money Laundering, ACAMS certification, or relevant CISI qualifications.

• Meet the FCA’s criteria to be approved as an SMF16/17. While current approved status is a bonus, it’s not mandatory – however, you should have a clean compliance record, strong references, and the credibility to pass the FCA’s vetting process for the role.

• First-hand experience interacting with the FCA (such as handling regulatory returns, compliance reports, or participating in an authorization/variation of permission process).

𝗔𝘁𝘁𝗿𝗶𝗯𝘂𝘁𝗲𝘀

• Hands-on and proactive

• Execution-driven

• Intellectually curious and sharp

• Excellent communication skills

• Entrepreneurial spirit