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Job Specification

Interim Head of Advisory Compliance – Asset Management Experience Required

£550-£750 per day 3 month FTC | LONDON
Ref: 3948G

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, an Asset Manager, is looking for an experienced Head of Advisory Compliance to join their growing team on an interim basis while they seek a permanent employee for this role. Reporting to the Head of Compliance and with oversight for a small team, you will have broad compliance advisory responsibilities across all of the business. Duties will include:

  • Delivering high-quality regulatory advice to the business for day to day and change activities across the key business areas including Investment, Client, Product, Distribution & Operations.
  • Delivering and managing Compliance activities supporting the Regulatory Change Framework including identification, assessment, engagement & the implementations in respect of regulatory change.
  • Contributing to a fit for purpose Regulatory Policy Framework through developing, enhancing and updating regulatory policies.
  • Contributing to second line of defence reporting, representation and challenge for the businesses governance arrangements including in respect of Boards, Committees and forums.
  • Design and delivery of regulatory training modules in collaboration with HR and business areas.
  • Participating in or leading other relevant activities including in respect of financial promotion review and approvals; execution of the Compliance team’s monitoring plan; investigations; internal or external audits; and regulatory interactions.

You must be an experienced Compliance Practitioner with a successful track-record as a senior Compliance manager within a UK regulated asset management firm. While an in-depth knowledge and sound understanding of the UK regulatory regime is required you should also have experience of relevant European regulations.


NB You will need to be immediately available to start this role or at most within 2 weeks of offer.


If that sounds like you, then please send your details to Gary Collins in the first instance on (Including a contact number & email) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission). 


Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.


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