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- Tasks: Lead compliance oversight and anti-money laundering functions in a dynamic multi-family office.
- Company: Join a blue-chip firm combining cutting-edge tech with top-tier 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 while influencing the company's direction.
- Qualifications: 7+ years in compliance roles, ideally in wealth management; relevant degree and certifications 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. Be ready to share specific examples of how you've developed or implemented compliance policies, as this aligns with the execution-focused nature of the position.
✨Tip Number 4
Showcase your entrepreneurial spirit by discussing any initiatives you've led that improved compliance processes or culture within your previous organisations. This will highlight your proactive approach and ability to influence company direction.
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 experience with FCA regulations and any direct interactions you've had with the FCA.
Showcase Relevant Qualifications: List any professional certifications you hold, such as an ICA Diploma in Compliance or ACAMS certification. Highlight your educational background in Law, Finance, or Business, and ensure that you meet the FCA’s criteria for SMF16/17 approval.
Demonstrate Communication Skills: Since excellent communication skills are crucial for this role, consider including examples in your application that showcase your ability to communicate complex compliance issues clearly and effectively, both in writing and verbally.
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 roles.
✨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 the FCA's expectations and how you can meet them effectively.
✨Exhibit Problem-Solving Abilities
The ideal candidate is execution-focused. Prepare to discuss specific challenges you've faced in compliance roles and how you approached problem-solving. This will demonstrate your proactive and hands-on approach.
