Compliance & Financial Crime

Compliance & Financial Crime

In today’s evolving and unforgiving regulatory environment, our clients realise that effective compliance is an essential element for organisational health, stewardship and success. We have an in-depth understanding of the nowadays prominent field of compliance, and specialist sub-disciplines such as financial crime, as these functions have been a core focus for our company since we were founded.

Whilst a premium is still placed on technical expertise, there is now a pressing need for leaders in these fields to foster close collaboration between compliance and the wider business. Such specialists must be able to communicate effectively with a sophisticated group of internal and external stakeholders, whilst maintaining a firm eye on the detail.

Although the talent pool for individuals who can blend leadership competencies with a thorough understanding of regulation, systems and processes is limited, we can provide our clients with access to the best talent in the industry, using our search experience and relationships with well-positioned practitioners, and going the extra mile to achieve excellent results in a competitive hiring marketplace.

Compliance & Financial Crime

“The team has broad and deep knowledge of the compliance and risk fields, giving our internal stakeholders assurance that our search would encompass all available talent in the market.”

Head of Risk and Compliance, US Asset Management Group

Risk Management

Risk Management

Risk management, as a component of the management of modern financial institutions, remains in a phase on ongoing evolution, as the exact positioning and potential contribution of risk continues to be defined. Successful risk professionals must possess broad and detailed technical expertise relevant to their specialist subject and the regulation thereof, plus the creativity and people skills to allow them to work effectively with and influence boards of directors and senior management. They must be able to support, challenge, and build rapport at the most senior of levels, with a view to creating, capturing and preserving enterprise value.

We work with clients to identify, attract and secure professionals who see risk as core to the business of financial services, and who can help embed effective and appropriate risk management into the culture of the organisation

Our work spans the successful engagement of Chief Risk Officers and their management teams, including Deputy, Divisional and Regional CROs, Heads of Operational Risk, Heads of Market and Investment Risk, Heads of Financial and Enterprise Risk Directors, and various mid-senior staff.

“The insightful profiling of individuals in the market for a key role within our firm was exceptionally useful and led to a well-informed hiring decision by an Executive Committee member, and ultimately an excellent hire.”

Talent Acquisition Manager, UK Asset Management Group

Internal Audit & Finance

Internal Audit & Finance

We are experienced specialists in internal audit and finance search, recruiting highly qualified accountants and auditors into a variety of financial services environments. Like other governance and controls functions, we have witnessed these disciplines evolve in recent years in line with changing market conditions.

A pressing, industry-wide need for improved and stronger controls, and increased regulatory scrutiny, has seen internal audit become a prominent and influential component of all serious companies’ governance frameworks. Whilst the core skills required in senior audit professionals are still specialist industry, subject matter and audit process expertise, a premium is also placed nowadays on leadership qualities, and the capacity to ‘set the agenda’.

Likewise, senior finance professionals – CFOs, controllers, and specialist accountants – must work closely with CEOs and Boards to serve and guide their businesses far beyond traditional expectations of responsibility. Financial accountants are trusted to interpret and work around complex international rules; management accountants now serve as deeply embedded business partners, leveraging emerging technology to produce and present insightful data to guide decision-making.

Our success in finding the best people for our clients is based on our experience, our network, and a highly developed understanding of the current issues at hand.

Internal Audit & Finance

“The team took great care to understand our business, our culture and our people. The process was highly interactive, providing insights into the current working practices, careers, and aspirations of candidates, which was very helpful in refining the role and focusing on the ultimate solution.”

Head of Risk and Compliance, US Asset Management Group

The Board

The Board

The role of independent non-executive directors on the boards of UK-regulated financial services companies has evolved considerably in recent years. A major indication of this is the increased accountability held by INEDs under the Senior Managers Regime. Meanwhile, new commercial opportunities present themselves to modern financial services companies, along with an array of risks to be managed, plus new factors for consideration, such as ESG and cyber risk. Today’s INEDs are expected to make a substantial contribution to their boards, walking a tightrope between maintaining good governance and enabling business growth.

The ability to appoint the best people to these boards is therefore of fundamental importance to the health of the wider business but also the functioning of the board itself. When it comes to engaging and hiring the best and most suitable independent directors for your business, our firm is uniquely well-positioned.

The lifespan of our company to date has mirrored the careers of the financial industry’s most senior and experienced independent operatives. Our legacy, network and proven credibility give us ready access to this purposeful and discerning group, and our specialist search experience enables us to make the right introductions on your behalf.

A Sample of Our Track Record: Global Chief Compliance Officer, FTSE100 Global Asset Manager Group Chief Risk Officer, FTSE250 Wealth Manager Group Head of Internal Audit, Prominent UK Asset Manager/ Pension Scheme Independent Chair of the European Board, Japanese Corporate Bank EMEA & APAC Chief Compliance Officer, £500bn AUM UK Asset Manager Independent Chair of the Board, Financial Planning Network UK Chief Compliance Officer, Global Custodian Bank International Chief Risk Officer, US$1trn AUM US Asset Manager Europe Head of Internal Audit, US$5trn AUM US Asset Manager INED / Chair of the Risk Committee, Japanese Investment Bank EMEA Head of Compliance – Alternatives, US$1.5trn AUM US Asset Manager EMEA Chief Risk Officer, US$1.5trn AUM US Asset Manager EMEA Head of Internal Audit, Japanese Investment Bank INED / Chair of the Remuneration Committee, US$60bn AUM Asset Manager Director of Regulatory Liaison, Prominent UK Asset Manager Global Head of Investment Risk, FTSE100 Global Asset Manager UK Head of Financial Services Internal Audit Practice, Major Consultancy INED / Chair of the Risk & Governance Committee, Major Investment Platform Head of Regulatory Affairs, Big Four Accounting Firm Global Head of Enterprise Risk, Prominent Global Asset Manager Group Finance Director, Prominent Global Asset Manager INEDS for Board of UK Fund Company, Japanese Asset Management Group Head of Investment Compliance Advisory, Prominent UK Asset Manager Europe Head of Operational Risk, Global Corporate Bank Europe Chief Financial Officer, Prominent Global Private Equity Firm INED / Chair of the UK Audit & Compliance Committee, Indian Banking Group Head of Distribution Compliance, FTSE100 Global Asset Manager Head of Regulatory Risk and Compliance, Major UK Life Company Group Head of Finance, FTSE250 UK Asset Manager General Counsel / Chief Compliance Officer, Niche Hedge Fund Head of Risk and Compliance, Multi-Family Investment Officer INED / Chair of the Europe Corporate Governance Committee, MENA Banking Group Head of Risk & Compliance, Niche Hedge Fund Chief Risk Officer – Wealth & Platforms, FTSE100 Global Asset Manager UK Head of Financial Crime, Global Custodian Bank EMEA Head of Financial Crime, Global Custodian Bank Head of CASS Oversight, FTSE250 UK Asset Manager Big Four Regulatory Consulting Director, UK Asset Management Practice