Case Study – Head of Compliance

The Company

Capital Finance is an FCA-authorised mortgage broker specialising in the provision of mortgage advice and arrangement services. Operating within a highly regulated environment, the firm is committed to delivering strong customer outcomes while maintaining the highest standards of regulatory compliance.

Capital Finance is known for its flexible, client-focused approach and its ability to source exclusive mortgage products from leading High Street, private, international, and specialist lenders. With a team of highly experienced advisers, the firm prides itself on tackling complex cases and delivering tailored solutions for clients, regardless of their circumstances.

The Requirement

Capital Finance engaged Compliance Professionals to appoint a Compliance Manager to take full ownership of the firm’s compliance framework. This was a critical hire, ensuring the business continued to operate in line with FCA requirements, protected its customers, and supported sustainable long-term growth.

The successful candidate would be responsible for overseeing all compliance activity, managing regulatory risk, conducting file reviews, maintaining the compliance monitoring programme, and acting as the primary point of contact with the FCA. Working closely with the Director and advisor team, the role would play a key part in embedding a strong compliance culture across the business.

The client required support from a specialist recruitment firm to manage the end-to-end hiring process quickly and efficiently, allowing them to remain focused on day-to-day operations. The role also presented additional complexity, as it was a part-time position (two days per week), fully remote, and therefore required a candidate comfortable operating independently and immersing themselves into the business without an in-office environment. This significantly narrowed the available talent pool, making a targeted and specialist search essential.

Our Solution

Given the tight timeframe, Compliance Professionals immediately turned to the network that they have built since 2003. Using this network and also reaching out to passive candidates, we focused specifically on professionals open to part-time or contract roles with strong mortgage and FCA compliance experience.

Through a targeted search, we identified and shortlisted six suitable candidates, all aligned with the technical requirements and flexible working arrangement. This shortlist was presented to the client, who selected three candidates to progress to interview. One standout individual emerged from the process and was subsequently offered the role.

The Outcome

The candidate accepted the offer immediately and was able to start within the timeframe outlined in the initial brief. From first briefing to offer acceptance, the entire process took just 11 days.

By partnering with Compliance Professionals, Capital Finance secured the right compliance expertise quickly and efficiently, saving valuable internal time and ensuring continued regulatory confidence during a critical period for the business.