Head, Compliance and Ethics

Are you ready to shape how ethics and compliance are lived, not just defined? Do you bring the credibility to advise senior leaders and Boards on complex, global compliance challenges? Would you like to evolve a compliance and ethics programme at an organisation whose mission is fundamentally grounded in professional integrity?

CFA Institute is seeking a Head, Compliance and Ethics to lead the continued evolution of our global compliance and ethics programme. Reporting to the Chief Legal and Compliance Officer, this is a senior, Board-facing role with responsibility for strengthening compliance as a mature, independent second-line function while ensuring that ethics remains a defining organisational value worldwide.

What You’ll Do

• Lead the evolution of CFA Institute’s global compliance and ethics programme, strengthening it into a mature, embedded, and independent second-line function.
• Serve as a trusted adviser to the Chief Legal and Compliance Officer, executive leadership, the Risk Committee, and the Board of Governors on compliance, ethics, and emerging risks.
• Own, mature and operationalize global compliance frameworks, including monitoring, controls testing, risk-based assessments, reporting, and issue escalation and remediation.
• Partner closely with Legal, Enterprise Risk, Internal Audit, Finance, and business leaders while maintaining appropriate second-line independence.
• Lead and develop a global compliance and ethics team, strengthening capability, succession, and ethical leadership as the function grows.
• Champion ethics as a lived organisational value through training, communication, leadership engagement, and behavioural reinforcement.
• Monitor global regulatory and enforcement developments with Legal, advising leadership on implications for strategy, operations, and new initiatives.
• Support a globally consistent yet locally sensitive compliance posture across jurisdictions.

What We’re Looking For

• Senior compliance, ethics, legal, or governance leadership experience (typically 12+ years) within complex, global organisations.
• Demonstrated enterprise-level ownership of compliance and ethics programmes, including designing, evolving, or materially strengthening them.
• Board and executive-facing credibility, with the judgement and gravitas to influence decision-making and escalate issues appropriately.
• Experience operating in global organisations subject to US and other international enforcement expectations, including familiarity with US DOJ Corporate Compliance Programme guidance.
• Deep understanding of second-line compliance responsibilities and effective partnership with Internal Audit without blurring lines of defence.
• Proven people leadership experience, including developing geographically dispersed teams and strengthening capability and culture.
• Strong communication skills, with the ability to translate complex regulatory and ethical issues into clear, actionable insight.
• Practical experience with compliance monitoring, controls testing, investigations, and GRC platforms (LogicGate strongly preferred).

Credentials And Professional Qualifications

• Bachelor’s degree required; advanced qualifications such as a JD, MBA, or equivalent are valued.
• Professional compliance or ethics certifications (for example CCEP-I or equivalent) are welcomed but not required.

Why Join Us

• A rare opportunity to shape ethics and compliance at an organisation whose global reputation is rooted in integrity and professional standards.
• High-visibility role with direct access to the Chief Legal and Compliance Officer, executive leadership, and Board-level stakeholders.
• Scope to build a globally recognised, best-in-class ethics and compliance programme with long-term ambition.
• The chance to influence ethics through cross-functional leadership involving education, professional conduct, and the wider investment industry.
• A collaborative, values-driven culture that supports thoughtful leadership, credibility, and impact.

At CFA Institute, we are committed to transparency and equity in our hiring process. In compliance with wage transparency laws in many of the jurisdictions in which we recruit, we provide the following information regarding compensation for this position: Expected salary range: UK £120,000-£150,000 per year. All salary ranges are subject to adjustment based on experience, education, location and other factors relevant to the position. Additional benefits include eligibility for an annual incentive bonus, a 12% employer contribution to a 401(k)/pension plan, and a comprehensive medical benefits package.

About CFA Institute

CFA Institute are the global leader in investment excellence and ethics. With nearly 200,000 charterholders across 160 markets, we drive professional growth, ethical behaviour, and better markets. We care about our employees’ well-being, offering industry-leading benefits like:

• Comprehensive health coverage for you and your family.
• Generous leave and time off.
• Competitive retirement plans.
• Flexible work options.
• Wellness, education, and support programs.

If you feel this opportunity could be the next step in your career, we encourage you to click “Apply” and complete our three-minute application.

Be part of a team committed to putting investors first and growing economies.

Important Message: Your application must clearly demonstrate how you meet the requirements as CFA Institute cannot make assumptions about your education, experience, or location. We thank all those who apply. Only those selected for further consideration will be contacted.

We are an Equal Opportunity Employer. CFA Institute prohibits both discrimination and harassment with regard to all identifying characteristics: any individual employee, group of employees, or prospective employee on the basis of race, color, national origin, citizenship or immigration status, religion, creed or belief, age, marital or partnership status, marital or family status, care giver status, pregnancy and maternity, sexual and other reproductive health decisions, physical abilities/qualities, disability, sexual orientation, gender, gender identity or expression, predisposing genetic characteristic, military or veteran status, status as a victim or witness of domestic violence or sex offense or stalking, unemployment status, infectious disease carrier status, migrant worker status, educational background, socio-economic status, geographic location and culture or any other basis protected by applicable law.

This policy impacts all aspects of employment, including but not limited to, recruitment, hiring, compensation, training, development, promotion, demotion, layoff, recall, furlough, transfer, leave of absence, and dismissal. This is a global policy that applies to all CFA Institute employees, regardless of location.

If, due to a disability or current medical condition, you need an accommodation or assistance to complete a job application, you can request one at any stage of the recruitment process. Please send an email to humanresources@cfainstitute.org noting the accommodations or assistance you are requesting. Please do not include any medical or health information in this email. We will review your request and contact you to discuss the possible options and arrangements. We will try our best to provide you with an accommodation or assistance that meets your needs and respects your preferences.

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