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- Tasks: Lead compliance strategy and ensure regulatory adherence for a high-growth investment firm.
- Company: Boutique investment group focused on sustainable wealth and private market opportunities.
- Benefits: Flexible part-time role, competitive pay, and the chance to make a real impact.
- Why this job: Shape the future of compliance in a mission-driven firm prioritising sustainable growth.
- Qualifications: Law degree and expertise in FCA regulations and private markets required.
- Other info: Ideal for experienced professionals seeking a meaningful, flexible role.
The predicted salary is between 72000 - 108000 £ per year.
Location: Remote / Hybrid (London)
Sector: Private Markets / Sustainable Wealth
About Sustainable Wealth Group: We are a boutique investment group dedicated to connecting sophisticated, professional, and high-net-worth investors with exclusive private market opportunities that drive sustainable growth.
The Opportunity: You will be the "Architect of Compliance" for our firm. This is not a box‑ticking role; it is a strategic position for a legal or compliance expert who understands how to balance commercial agility with rigorous regulatory adherence. You will ensure our current financial promotions are watertight while building the framework for our future FCA authorisation and international expansion.
Key Responsibilities:
- Strategic Regulatory Transition (FCA Authorisation): Lead the internal project to prepare the firm for regulation. Conduct a gap analysis of current operations against FCA Threshold Conditions. Advise on the optimal route to regulation (Appointed Representative vs. Direct Authorisation) and manage the application process (Forms A, A, and V). Draft and implement the necessary compliance manuals, systems, and controls (SYSC) required for authorisation.
- Financial Promotions & Communications: Act as the gatekeeper for all marketing communications and Information Memorandums (IMs). Strictly enforce compliance with Section 21 of FSMA, ensuring all promotions adhere to exemptions for High Net Worth (Article 48) and Sophisticated Investors (Article 50) under the Financial Promotion Order (FPO). Ensure all marketing materials comply with the FCA’s Anti‑Greenwashing Rule, ensuring our claims are clear, fair, not misleading, and substantiated by evidence.
- International Securities Law: Provide guidance on cross-border solicitation rules as we expand. Advise on US Securities laws (e.g., Regulation D, Regulation S) and EU marketing rules to ensure we remain compliant when dealing with international investors.
- AML & KYC Oversight: Oversee the onboarding process for investors, ensuring robust KYC/AML checks are performed in line with the Money Laundering Regulations 2017. Verify "Sophisticated" and "HNW" investor status certifications before any promotion is communicated.
The Ideal Candidate:
- Legal Background (Non‑Negotiable): You must hold a Law Degree (LLB, JD, or equivalent).
- Regulatory Expert: Deep knowledge of the FCA Handbook (specifically COBS, PERG, and SYSC) and the FSMA Financial Promotions Order.
- Private Markets Experience: You have previously worked with firms dealing in private equity, venture capital, or unregulated collective investment schemes (UCIS).
- International Reach: Proven experience or strong working knowledge of international securities laws (US/EU) regarding private placements.
- Commercial Mindset: You are pragmatic. You understand how to protect the business without stifling its ability to raise capital.
Why Join Us?
- High Impact: You will be setting the regulatory foundation for a high‑growth firm.
- Flexibility: A genuine part‑time role that respects your time, perfect for a consultant or experienced professional managing a portfolio of work.
- Sustainable Mission: Be part of a firm that prioritises wealth creation with a conscience.
Fractional Head of Legal & Compliance employer: Sustainable Wealth Group
Contact Detail:
Sustainable Wealth Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Fractional Head of Legal & Compliance
✨Tip Number 1
Network like a pro! Reach out to your connections in the legal and compliance sectors. Attend industry events or webinars where you can meet potential employers or colleagues. Remember, it’s all about who you know!
✨Tip Number 2
Showcase your expertise! Prepare a portfolio that highlights your previous work in regulatory compliance and financial promotions. Use real examples to demonstrate how you've navigated complex regulations and contributed to business growth.
✨Tip Number 3
Be proactive! Don’t just wait for job openings to appear. Reach out directly to companies you admire, like Sustainable Wealth Group, and express your interest in potential opportunities. A well-timed email can make all the difference!
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets noticed. Tailor your CV and cover letter to highlight your relevant experience in private markets and compliance, making it clear why you’re the perfect fit for the role.
We think you need these skills to ace Fractional Head of Legal & Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Fractional Head of Legal & Compliance. Highlight your legal background and any experience with FCA regulations, as we want to see how you can be our 'Architect of Compliance'.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for our boutique investment group. Show us your understanding of private markets and how you can balance compliance with commercial agility.
Showcase Relevant Experience: When detailing your past roles, focus on your experience with financial promotions and international securities laws. We’re looking for someone who can hit the ground running, so make those experiences pop!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Sustainable Wealth Group
✨Know Your Regulations Inside Out
Make sure you brush up on the FCA Handbook, especially COBS, PERG, and SYSC. Being able to discuss these in detail will show that you're not just familiar with the regulations but can also apply them strategically.
✨Demonstrate Your Commercial Acumen
Prepare examples of how you've balanced compliance with business needs in previous roles. This will highlight your ability to protect the firm while still enabling growth, which is crucial for this position.
✨Showcase Your International Knowledge
Be ready to discuss your experience with international securities laws, particularly US and EU regulations. This will be key as the firm looks to expand its reach, so having specific examples will set you apart.
✨Prepare for Scenario-Based Questions
Think about potential scenarios related to financial promotions and compliance challenges. Practising how you'd handle these situations will demonstrate your problem-solving skills and readiness for the role.
