In many fintech businesses, risk and compliance were originally built as protective layers. Boards are now asking a different question.…
How to Hire a Head of Compliance in Asset Management
Hiring a Head of Compliance in asset management is one of the most consequential decisions a fund can make. This…
Simon Roderick
Strong compliance leadership is now essential in wealth management
The wealth management sector has entered a period of significant scrutiny. Firms searching for compliance executive search support are focusing…
Simon Roderick
Finding the right contractor at pace in financial services
Fixed-term contractors have become an integral part of the financial services workforce. Successful firms recognise that hiring well is not…
Simon Roderick
Building strong legal capability in financial services
As regulation continues to evolve and financial services firms grow more diverse, the need for high-quality legal leadership will only…
Simon Roderick
Short term finance and operations hires are becoming part of long term planning in fund management
Fixed term hires give firms balance. They provide the bandwidth to deliver today while shaping the structure for tomorrow. For…
Simon Roderick
Bridging the Gap: How Interim Compliance Support Keeps Firms on Track
Regulatory expectations in financial services continue to rise, yet many firms are operating with leaner compliance teams than ever. An…
Simon Roderick
When to Use Interim Compliance Resource in Asset Management
An interim compliance officer asset management appointment is not just a stopgap. Done well, it is a strategic decision that…
Simon Roderick
How Smaller Asset Managers Can Strengthen SMCR Oversight Without Overstretching Their Team
The Senior Managers and Certification Regime continues to be a priority for the FCA. For smaller asset managers, especially those…
Simon Roderick
CASS 15 Readiness: Do You Have the Right Compliance Resource in Place
The FCA’s focus on CASS 15 has made it clear that firms holding client assets must demonstrate a higher level…
Simon Roderick
What the FCA’s Business Model Review Means for Compliance Leadership in Smaller Asset Managers
For many businesses in the 10 to 50-person range, the FCA’s recent business model review has implications that go far…
Simon Roderick
What EMI Applicants Need to Know Before Making Their First Compliance Hire
If you are navigating compliance recruitment for an EMI in the UK, or preparing your business for authorisation, we are…