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- Tasks: Lead compliance and anti-money laundering functions, designing policies and frameworks.
- Company: Join a blue-chip multi-family office combining tech and investment expertise.
- Benefits: Opportunity to build a compliance programme from scratch and grow into a senior leader.
- Why this job: Be a key player in shaping compliance culture and influencing company direction.
- Qualifications: 7+ years in compliance roles, ideally in wealth management; relevant degree preferred.
- Other info: Hands-on role requiring strong communication skills and an entrepreneurial spirit.
The predicted salary is between 72000 - 108000 £ per year.
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.
- 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).
- Hands-on and proactive
- Execution-driven
- Intellectually curious and sharp
- Excellent communication skills
- Entrepreneurial spirit
Head of Compliance employer: Stephenson Executive Search
Contact Detail:
Stephenson Executive Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance
✨Tip Number 1
Familiarise yourself with the FCA regulations and compliance frameworks relevant to multi-family offices. Understanding the specific requirements will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in wealth management. Engaging with industry peers can provide insights into best practices and may even lead to referrals.
✨Tip Number 3
Prepare to discuss your hands-on experience in compliance roles, particularly any instances where you've developed or implemented compliance policies. Highlighting your practical skills will show that you're ready to take on the responsibilities of this leadership position.
✨Tip Number 4
Stay updated on current trends and challenges in compliance and financial crime prevention. Being knowledgeable about recent developments will allow you to engage in meaningful discussions during interviews and showcase your intellectual curiosity.
We think you need these skills to ace Head of Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and financial crime roles. Emphasise any previous positions as a Compliance Manager or Deputy MLRO, and include specific achievements that demonstrate your ability to develop and implement compliance frameworks.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Discuss how your hands-on approach and execution-driven mindset align with the responsibilities of the Head of Compliance. Mention your familiarity with FCA regulations and your experience in liaising with regulatory bodies.
Showcase Relevant Qualifications: If you have professional compliance certifications, such as an ICA Diploma or ACAMS certification, make sure to mention these prominently in your application. Highlighting your educational background in Law, Finance, or Business can also strengthen your candidacy.
Demonstrate Your Communication Skills: Since excellent communication skills are crucial for this role, consider including examples in your application that showcase your ability to convey complex compliance issues clearly and effectively, whether in written reports or during interactions with regulators.
How to prepare for a job interview at Stephenson Executive Search
✨Showcase Your Compliance Knowledge
Make sure to brush up on FCA regulations and compliance frameworks relevant to the role. Be prepared to discuss your previous experiences in developing compliance policies and how they align with the firm's needs.
✨Demonstrate Leadership Skills
As this is a hands-on leadership role, highlight your experience in leading teams and projects. Share examples of how you've successfully implemented compliance programmes and influenced company culture in past positions.
✨Prepare for Regulatory Discussions
Since you'll be liaising with the FCA, be ready to discuss your experience with regulatory returns and inspections. Familiarise yourself with common challenges faced during FCA interactions and how you overcame them.
✨Exhibit Problem-Solving Abilities
The ideal candidate is execution-focused. Prepare to discuss specific instances where you've tackled compliance issues or improved processes. Show that you're not just a strategist but also someone who can roll up their sleeves and get things done.
