HK Highlights 1 - Digital Magazine Version - Flipbook - Page 21
VC-Backed WealthTech Platform,
Chief Risk and Compliance Of昀椀cer
The Situation
An extraordinarily exciting
opportunity for the right person, this
client was a relatively new Fintech
business, backed by one of the UK’s
leading venture capital 昀椀rms, specialising
in providing technology solutions and
custody to the wealth management
and 昀椀nancial planning sectors.
The 昀椀rm’s newly appointed
management team were contacts
of ours from previous assignments;
Our Process
we were delighted that they entrusted
Halsey Keetch with the job of 昀椀nding
the organisation’s 昀椀rst full-昀氀edged
Chief Risk Of昀椀cer.
The new hire would take on the
SMF4 and SMF16 designations,
covering risk and compliance, and
would also oversee the 昀椀nancial
crime / SMF17 function, as the
昀椀rm entered a new and ambitious
growth phase.
The company had two key locations,
in Scotland and the west of England,
so our main focuses were on identifying
potential candidates in these two
locations. Fortunately, we know the
risk and compliance populations in
both regions very well thanks to
previous assignments, plus the
opportunity itself held substantial
appeal, so we were able to suggest a
number of options from around the UK.
The Outcome
We guided two exceptional female candidates through advanced interview
stages, including providing guidance on a presentation that each candidate
was asked to prepare on risk and compliance strategy for a growth business in
this sector. We gave our client a dif昀椀cult decision to make and eventually placed
a superb emerging risk and compliance leader with a retail 昀椀nancial services
background. The 昀椀rm has continued to grow its client base and assets under
administration since this individual joined and its valuation is also rising, in an
otherwise challenging market for Fintech businesses.
HK HIGHLIGHTS
PAGE 21