Compliance

Having an effective compliance leader is pivotal to the survival and success of firms in the modern regulatory environment. Our dedicated compliance practice is designed to help our clients make strategic – and often high profile – hires, with due diligence surrounding risk and financial crime.

With an enviable track record across financial services, our global compliance practice has become a thought leader within the market, regularly speaking at conferences and events on topics such as compensation, resources and structures.

We assist our clients in all aspects of compliance, including benchmarking, competitor analysis, succession planning, structural changes and executive search services for global, regional and business line leaders.

Our compliance expertise spans:

  • Advisory Compliance
  • Authorisations, Independent Accountability and Employee Compliance
  • Compliance Technology
  • Monitoring, Surveillance and Testing
  • Policy, Strategy and Training
  • Regulatory Developments and Relations

Case Study

Leathwaite was mandated by a global banking group to map out the structure of its competitors’ central compliance functions, along with the talent within them. As the client had recently consolidated all of these functions under one role, with global responsivity across all business lines, they sought a high calibre compliance leader to run the function.

However, our map highlighted that competitors often adopted a different approach to compliance, meaning there were very few individuals with experience in a directly comparable role. Therefore, we also identified other strong compliance officers with extensive experience of running global compliance programmes.

This process formed part of the Global Head of Compliance’s wider strategy to introduce diversity of thought within the senior leadership team. As such, the client was open to hiring someone from a different type of financial services firm.

Following a stringent search process, Leathwaite successfully placed a compliance leader from a global cards and payment firm in the role.

 

Track Record

  • Global Head of Financial Crime – Global Retail Bank – London
  • Global Head of Corporate Banking Compliance – Global Retail Bank – London
  • Chief Technology Officer, Compliance – Global Retail Bank – London
  • Americas Head of Compliance – Global Retail Bank – New York
  • Global Head of Asset & Wealth Management Compliance – Global Retail Bank – London
  • Global Head of Compliance – Investment Bank – London
  • Global Head of Compliance – Global Communications Company – London
  • Head of Intelligence – Financial Regulatory Organisation – London
  • Head of Compliance – Wealth Management Company – London
  • Global Head of Compliance – Investment Bank – London

For further information, please click here to contact our team