Middlemore
Head of Compliance
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Head of Compliance (Part-Time)
Location: London | Hybrid
Working Pattern: 3–4 days per week preferred; (5 days considered)
Middlemore are retained with an investment management business, who are seeking a Senior Compliance Leader to join at a pivotal stage of its development. This is a confidential appointment for an individual who can bring strong regulatory expertise, commercial judgement, and the ability to build and operate a pragmatic compliance framework in a fast-moving, shareholder-focused environment.
You will play a key role in shaping compliance strategy, strengthening governance, and supporting the business across the investment lifecycle. This is a sole contributor, specialist role with broad exposure across the firm and selected portfolio businesses, requiring someone who is confident advising senior stakeholders and translating technical regulation into practical, workable solutions.
Key responsibilities
- Lead the compliance agenda and set clear priorities, standards, and direction.
- Develop and maintain a proportionate, risk-based compliance framework.
- Provide trusted advice to senior leadership, investment teams, and support functions on regulatory, governance, and conduct matters.
- Support the full investment lifecycle, including deal structuring, due diligence, execution, and exit.
- Work closely with investment teams and investment committees to ensure compliance with investment guidelines, fund mandates, risk limits, and regulatory requirements.
- Review marketing materials, fund reporting documents, and regulatory announcements.
- Assist with client onboarding, categorisation, suitability assessments, and cross-border distribution requirements.
- Oversee governance arrangements, policies, procedures, and controls across the firm and relevant portfolio companies.
- Design and operate targeted compliance monitoring and reporting focused on key risks.
- Oversee financial crime, AML, sanctions, and anti-bribery and corruption controls.
- Monitor FCA and wider regulatory developments and assess their impact on the business.
- Engage with regulators, advisers, and auditors where required.
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- Significant compliance experience within private equity, asset management, or broader financial services.
- Strong understanding of FCA requirements and their practical application in an investment environment.
- Direct AIFMD experience is essential.
- Direct listed-company / PLC compliance experience is highly important.
- Commercially minded, with the ability to balance regulatory risk and business objectives.
- Credible at Board level and comfortable advising senior stakeholders.
- Strong knowledge of financial crime frameworks, including AML, sanctions, and ABC.
- Experience building or enhancing compliance frameworks in a growing or evolving business.
What the role offers
This is a rare opportunity to shape a compliance function from a relatively early stage and make a visible impact across a business that is evolving rapidly. The role offers breadth, seniority, and the chance to influence how compliance supports both growth and governance in a confidential and high-profile setting.
Salary - £130-150k + 30-60% bonus.
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