Case Study: Compliance Manager

The Company

Astaris Capital Management LLP (“Astaris”) is a UK‑based investment manager specialising in opportunistic and event‑driven strategies. The firm manages a Special Situations Hedge Fund, a Separately Managed Accounts (SMA), and a closed‑ended fund, with approximately $1 billion in assets under management.

Established in 2020 by a team of experienced investment professionals, Astaris is authorised and regulated by both the Financial Conduct Authority and the U.S. Securities and Exchange Commission.

The Requirement

Astaris sought to appoint a highly motivated and experienced Compliance Manager to support its growing investment management business. The role required an individual capable of maintaining a strong on-site presence while operating with flexibility.

The successful candidate needed to demonstrate in-depth knowledge of both FCA and SEC regulatory frameworks, alongside proven experience managing compliance within firms operating across both jurisdictions. A proactive, self-motivated approach and the ability to take ownership of the compliance function were essential.

Despite conducting their own search, Astaris had been unable to identify a candidate who met their specific requirements and therefore engaged Compliance Professionals to deliver a targeted solution.

Our Solution

Following a detailed briefing with Astaris, we conducted a comprehensive market mapping exercise, focusing on candidates with a strong investment management background and demonstrable experience across both FCA and SEC regulatory environments.

The opportunity itself was highly attractive, offering the potential for SMF16/17 responsibility, making it suitable for candidates either already operating at that level or those ready to step up into the role.

We developed an extensive longlist by leveraging our established network and proactively engaging passive candidates aligned to the brief. This was subsequently refined into a targeted shortlist, carefully balancing the client’s requirement for an individual who could make an immediate impact, while also possessing the capacity to grow within the role.

Our tailored and consultative approach enabled us to significantly reduce the client’s time investment in screening and ensure only highly relevant candidates were presented.

The Outcome

Following two initial interview stages, three candidates were selected to progress to a final round. After careful consideration, an offer was extended to the standout candidate, who successfully accepted the position.

The appointed individual closely matched Astaris’ technical and cultural requirements, demonstrating the value of a specialist and highly focused recruitment approach. Compliance Professionals delivered a bespoke solution, enabling the client to secure a high-calibre hire efficiently and effectively.