Legal · Head of Compliance
Head of Compliance and Chief Compliance Officer search.
Retained compliance leadership search for FCA/PRA-regulated firms, asset managers and financial services businesses.
What the role is
A short definition.
A Head of Compliance leads the compliance function of a regulated firm — regulatory strategy, monitoring, reporting, and interactions with the FCA, PRA and international regulators. In many regulated firms the role holds an SMCR-designated function; in asset managers the role often extends to product governance and consumer duty.
Core responsibilities
What we assess candidates against.
- Regulatory strategy and horizon-scanning
- SMCR mapping, senior manager responsibilities and certification
- Compliance monitoring and testing programme
- Regulatory reporting to FCA/PRA and (in international firms) equivalents
- Consumer Duty implementation and monitoring (where relevant)
- Advisory to the executive committee and Board on compliance risk
When to run this search
Typical triggers.
On a change of CEO or CRO where compliance function is being reset; ahead of an authorisation, expansion or new-product launch; following a regulatory intervention; on the departure of an incumbent Head of Compliance.
How we search
The specific approach we take.
Retained. Candidate pools include sitting Heads of Compliance at comparable regulated firms, Deputy Heads ready for the top seat, and former FCA / PRA supervisors moving into industry. Every mandate is led by a partner with regulatory fluency, and pre-approval-readiness is checked at candidate assessment.
FAQ
Frequently asked questions
Do you handle Chief Compliance Officer as a distinct role?
Yes. In larger asset managers, insurers and banking businesses the CCO is a distinct executive-committee role above the Head of Compliance. Candidate pools overlap but are not identical.
Can you support SMCR-designated function searches?
Yes. Where the role holds an SMCR-designated senior manager function, we assess candidates specifically for pre-approval readiness.
Do you recruit for asset managers specifically?
Yes. Asset management compliance is a specialism — product governance, Consumer Duty, distribution and (in alternatives) LP-facing compliance all require distinct experience.
How long does a Head of Compliance search take?
Twelve to sixteen weeks brief to accepted offer is typical. Pre-approval-required roles can run longer.
How is compensation structured?
Base, cash bonus, and (in larger firms) LTIP or equity. Regulated financial services compliance leadership has seen substantial base-salary inflation in the last three years.
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