Broster Buchanan
Interim Head of Compliance
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Interim Head of Compliance
Delighted to be partnering with our Peterborough based client to recruit an Interim Head of Compliance to lead and develop the businesses compliance function for a minimum of 3 months. This is a key leadership role, combining strategic oversight with hands-on delivery, ensuring the business meets its regulatory, legal and professional obligations while supporting continued growth.
The right candidate will have worked in the legal sector; be a confident and credible leader who can combine technical expertise with commercial awareness—ensuring compliance supports the businesses success. You will be responsible for maintaining a robust compliance framework, providing clear and practical advice to the Board, key stakeholders and staff, and ensuring day-to-day compliance activity is delivered consistently and effectively.
You'll play a central role in promoting a strong culture of compliance, risk awareness and client protection—balancing regulatory rigour with pragmatic, business-focused decision making.
Key Deliverables
- Regulatory & Governance: Oversee compliance with SRA Standards & Regulations, Accounts Rules and wider obligations; support the Board and COFA; act as COLP, MLRO and/or DPO if required.
- AML & Financial Crime: Lead AML framework, risk assessments, due diligence processes and firm-wide training.
- Data Protection: Manage GDPR compliance, data breach responses and information governance controls.
- Audit & Quality Assurance: Deliver a risk-based file audit programme, identify trends and drive continuous improvement.
- Client Care & Conduct: Oversee complaints handling, conflicts, professional conduct and client protection priorities.
- Policy & Training: Develop policies, deliver training and embed compliance into firm systems and processes.
- Risk Management: Maintain risk registers, identify emerging risks and provide clear Board-level reporting.
- Leadership: Lead and develop the compliance team, building strong relationships across the firm and promoting best practice.
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Essential Skills & Experience
- Proven experience in compliance, risk or regulatory management within a legal or professional services environment
- Strong working knowledge of SRA Standards & Regulations, SRA Accounts Rules, AML, data protection and professional conduct obligations
- Experience in file auditing, compliance monitoring and breach management
- Track record of advising partners, senior leaders and fee earners on compliance and risk matters
- Ability to produce clear, concise reports for senior management and Board-level audiences
- Experience developing policies, procedures, training programmes and risk-based controls
- Practical understanding of law firm operations, including client onboarding, matter management, supervision, billing and file closure
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Desirables
- Previous experience in a Head of Compliance, Compliance Manager, COLP, MLRO or DPO role
- Experience within an FCA-regulated environment
- Experience managing regulatory visits, external audits or insurer reviews
- Involvement in change initiatives or process improvement projects
- Relevant qualifications in compliance, AML, risk, legal or data protection
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