Head of Compliance: Investment

SUMMARY:
As the Head of Compliance, you will be the firm’s key guardian of regulatory integrity, with significant responsibility for CASS oversight, client money rules, governance, and proactive engagement with the FCA. This is a hands-on role in a lean environment where your decisions directly shape operational and regulatory outcomes.

POSITION INFO:

Job Description:
Lead and refine the firm’s CASS framework, ensuring correct segregation, reconciliation, and safeguarding of client money and custody assets
Own all FCA reporting, including CMAR, financial promotions approvals, governance papers, incident notifications, and thematic submissions
Act as the primary point of contact for the FCA, managing supervisory relationships and responding to regulatory developments
Oversee KYC/AML escalations, compliance monitoring, breach management, and regulatory audits
Embed a culture of robust compliance across the business, ensuring that CASS responsibilities are understood and executed company‑wide
Manage and develop a small, high-performing compliance team

You’re a sharp, solutions-driven compliance professional with strong exposure to CASS, client money, and the broader FCA Handbook. You thrive in environments that demand speed, precision, and excellent judgement.
We’re looking for:
Proven experience in an FCA‑regulated investment, wealth, or fintech environment
Strong understanding of CASS (Client Assets Sourcebook) and client money rules
Experience with CMAR, CASS reconciliation processes, and oversight controls
Confidence engaging with the FCA and influencing senior stakeholders
Ability to balance strategic thinking with hands-on execution
Calm, organised decision-making in fast-moving environments
High visibility and direct influence on the firm’s regulatory strategy
Ability to build and elevate the compliance function end‑to‑end
Mission-driven business with strong growth and global reach
Fast-moving environment where your expertise truly makes an impact
Opportunity to become the firm’s trusted voice in all CASS and FCA matters

Qualification:
Bachelor’s degree in one of the following:
Law
Finance
Compliance
Accounting
Business/Commerce
A Master’s degree (LLM, MBA, MSc Finance/Compliance) is advantageous but not essential.
ICA Qualifications (International Compliance Association)
CISI Qualifications (Chartered Institute for Securities & Investment)
CASS-Specific Training
Chartered or Professional Status
SMCR-Related Understanding


Please send your resume to quoting Ref: CTF022810.

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