Altum Consulting
Head of Compliance & Onboarding
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Head of Compliance
This is a position for Head of Compliance to join the Risk and Compliance Department, providing strategic leadership across the firm's compliance function. The successful candidate will work closely with the Compliance Director, partners and senior business leaders, providing trusted regulatory advice while overseeing the firm's client and matter onboarding function, regulatory compliance framework and wider risk initiatives.
Responsibilities:
- Lead the firm's Compliance function, ensuring a commercial, proportionate and effective approach to regulatory compliance.
- Act as the primary adviser on regulatory compliance, providing guidance on SRA requirements, AML, sanctions, conflicts and wider regulatory obligations.
- Own and maintain the firm's compliance policies, controls and procedures, ensuring alignment with regulatory developments and best practice.
- Oversee the client and matter onboarding function, ensuring efficient, risk-based governance of CDD, EDD and matter risk assessments.
- Act as the escalation point for complex or high-risk client and matter onboarding decisions, providing pragmatic, risk-based advice.
- Lead, develop and mentor the Compliance team, fostering a high-performing and collaborative culture.
- Build trusted relationships across the firm, balancing regulatory requirements with commercial objectives.
- Lead regulatory horizon scanning and implement enhancements to the firm's compliance framework.
- Design and deliver firm-wide compliance training, promoting a strong culture of compliance and ethical conduct.
- Oversee compliance monitoring activities, identifying emerging risks and opportunities for continuous improvement.
- Prepare management information and reports for senior leadership on regulatory risks, compliance performance and key developments.
- Support regulatory inspections, audits and regulator engagement where required.
- Drive continuous improvement of compliance processes, systems and technology to enhance efficiency and service delivery.
- Contribute to strategic projects and wider Risk & Compliance initiatives as required.
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Key Experience Required:
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- Significant experience in a senior compliance leadership role within a UK law firm or other regulated professional services environment.
- Strong working knowledge of the SRA Standards and Regulations, UK Money Laundering Regulations, sanctions regimes and broader regulatory obligations applicable to legal services.
- Proven ability to provide pragmatic, commercially focused regulatory advice to senior stakeholders.
- Demonstrable experience leading, developing and motivating high-performing compliance teams.
- Excellent analytical skills with the ability to assess complex regulatory issues and make sound, risk-based decisions.
- Outstanding written and verbal communication skills, with the ability to influence stakeholders at all levels.
- Strong IT literacy and experience using compliance systems, client onboarding platforms and regulatory databases.
- Above all, this organisation is looking for a strong team leader who is able to uplift culture and maturity across the function and business.
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