Case studies
-
Case Study – The Fund Incubator – Deputy Compliance Officer & Deputy MLRO
The Fund Incubator engaged Compliance Professionals to support the hire of a Deputy Compliance. This appointment formed a key part of the firm’s future planning and was viewed as a strategically important hire for the long-term growth of the business.
Read more -
Case Study – Vasey & Harris Asset Management
The Company Vasey & Harris Asset Management Limited (VAHA) was founded in 2016 and received FCA authorisation later that year. The firm provides regulated investment management services to professional clients...
Read more -
Case Study – Cubefunder
Case Study: Cubefunder – Compliance Manager & MLRO The Company Cubefunder is a fast-growing B2B lending business working with brokers and introducers to provide funding solutions to UK businesses. Operating...
Read more -
Case Study – Armalytix
Case Study: Armalytix – Head of Legal & Compliance The Company Armalytix provides automated financial data services, including Open Banking, identity verification, and Source of Funds products to the UK...
Read more -
Case Study – Mirabaud
Mirabaud engaged Compliance Professionals to support the appointment of a Senior Compliance Manager / Deputy MLRO
Read more -
Case Study – Astaris
Astaris sought to appoint a highly motivated and experienced Compliance Manager to support its growing investment management business.
Read more -
Case Study – Capital Finance
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...
Read more -
Case Study – MarTrust
Martrust came to Compliance Professionals, as they were looking for a Head of Reconciliations to lead and optimise reconciliation processes across all financial transactions, ensuring data accuracy, operational integrity, and continual improvement.
Read more -
Case Study – Chiba Bank
Chiba Bank came to Compliance Professionals to assist in their search for a Compliance Officer and MLRO for their London branch.
Read more -
MarTrust Case Study
MarTrust tasked Compliance Professionals with finding not one but two senior roles : A Head of Transaction Monitoring as well as an MLRO. Both required instant payments and FX solutions product knowledge and would be supporting MarTrust with their licensing journey.
Read more