Head of Compliance - Platform

Are you a strategic leader with a deep understanding of investment management regulations and a passion for driving compliance excellence? As Head of Compliance (Platform) you will wield your expertise to shape, oversee, and elevate our compliance framework within a dynamic, innovative environment in London. This pivotal role offers the opportunity to influence company operations at the highest level, ensuring regulatory integrity and delivering peace of mind to stakeholders, clients, and regulators alike.
Your insights will drive proactive risk management, foster a culture of compliance, and support strategic change initiatives—all within a collaborative and forward-thinking organization committed to excellence.

Required Skills & Qualifications

• Proven experience operating successfully within an investment management environment, with a comprehensive understanding of applicable regulatory requirements, especially relating to investment platforms.


• Strong leadership skills, with experience managing teams and influencing senior stakeholders.


• Deep knowledge of financial regulation frameworks, including FCA requirements, Financial Crime policies, and the wealth advice sector.


• Excellent communication, negotiation, and influencing skills, with the ability to build effective relationships internally and externally.


• Proven track record of developing and implementing compliance policies, monitoring systems, and audit processes.

Nice to Have Skills

• Experience working with platform providers, depositaries, and external auditors.


• Familiarity with FCA thematic reviews and data request processes.


• Industry engagement experience through participation in forums, conferences, or regulatory consultations.


• Knowledge of emerging compliance risks and regulatory landscape developments.

Preferred Education & Experience

• A degree in Law, Finance, or a related discipline.


• Professional qualifications such as ICA, CII, or equivalent compliance certifications.


• At least 8-10 years of experience in compliance, risk, or regulatory roles within financial services, with a focus on investment platforms.

Other Requirements

• Ability to work autonomously with strong decision-making skills.


• Flexibility to manage multiple projects and priorities.


• Willingness to engage with external industry bodies and participate in industry forums.


• Occasional travel may be required for stakeholder engagement or regulatory visits.

If you are ready to lead a vital function, influence regulatory standards, and safeguard our organization’s reputation, we want to hear from you. Take the next step in your career and apply now to join a forward-thinking team dedicated to compliance excellence!

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