Acting Director, Legal & Compliance (12-15 Month FTC)
London | Hybrid Working
An established global investment management firm is seeking an experienced Acting Director, Legal & Compliance to join its London office on a long-term maternity cover contract.
This is a senior leadership opportunity for an individual with extensive experience across legal, compliance, regulatory affairs and financial crime within an FCA-regulated investment management environment. The successful candidate will act as the primary legal and compliance lead for the UK business, partnering closely with senior stakeholders globally while ensuring adherence to UK and international regulatory requirements.
Key Responsibilities
- Hold responsibility for the UK Compliance function, including SMF16 (Compliance Oversight) and SMF17 (MLRO) responsibilities.
- Lead and maintain the firm's legal and compliance framework across a range of investment products and distribution channels.
- Provide strategic advice on regulatory developments impacting operations across the UK, Europe and the Middle East.
- Act as the primary contact for regulators, external counsel and key service providers.
- Review, negotiate and advise on a broad range of commercial, distribution and investment management agreements.
- Oversee AML/KYC, financial crime, governance and compliance monitoring activities.
- Support cross-border fund distribution and ensure compliance with applicable regulatory regimes.
- Deliver regulatory training and guidance to business stakeholders.
- Lead policy development and implementation in response to evolving regulatory requirements.
- Manage and develop junior compliance team members whilst fostering a strong compliance culture.
Requirements
- 10+ years' experience within legal and/or compliance roles in asset management, investment management, private funds, financial services or a related advisory environment.
- Current or previous experience within an FCA-regulated firm.
- Strong understanding of the UK regulatory landscape, including FCA requirements and financial crime obligations.
- Deep knowledge of UCITS, AIFMD, MiFID, SFDR, EMIR, AML/KYC and broader European regulatory frameworks.
- Experience supporting fund distribution, institutional client relationships and cross-border business activities.
- Proven ability to provide commercially focused legal and regulatory advice to senior stakeholders.
- Strong contract review and negotiation experience.
- Excellent communication skills and experience presenting to leadership teams and governance committees.
What's on Offer
- High-profile leadership role within a globally recognised investment organisation.
- Significant exposure to senior management and international stakeholders.
- Broad remit spanning legal, compliance, financial crime and regulatory affairs.
- Collaborative and intellectually stimulating environment.
Acting Director, Legal and Compliance employer: William Blake Group
As a leading Investment Management firm, we pride ourselves on fostering a dynamic and inclusive work culture that empowers our employees to thrive. With a strong focus on professional development, we offer tailored training and mentorship opportunities, ensuring that our team members in the South West region can grow their careers while making meaningful contributions to our clients' success. Our commitment to work-life balance, coupled with the chance to engage with industry leaders at events across Devon and Cornwall, makes us an exceptional employer for those seeking a rewarding career in business development.
