Head of Legal & Compliance

This role is structured as a high-impact, fractional position (approx. 2 days/week). It is perfectly suited for an experienced Compliance Consultant or Semi-Retired Legal Counsel who manages a portfolio of clients and wants to add a dynamic, sustainable wealth startup to their roster. We offer full autonomy and a 'Head of' title in exchange for your strategic expertise.

About Sustainable Wealth Group

We are a boutique investment group dedicated to connecting sophisticated, professional, and high-net-worth investors with exclusive private market opportunities that drive sustainable growth.

We are currently operating as an unregulated entity leveraging specific exemptions under the Financial Services and Markets Act (FSMA). However, we are now entering a pivotal phase of growth. We are looking for a strategic Fractional Head of Legal & Compliance to guide us through our transition to a fully regulated environment (either as an Appointed Representative or via Direct Authorisation) and to safeguard our expansion into international markets.

The Opportunity

You will be the "Architect of Compliance" for our firm. This is not a box-ticking role; it is a strategic position for a legal or compliance expert who understands how to balance commercial agility with rigorous regulatory adherence. You will ensure our current financial promotions are watertight while building the framework for our future FCA authorisation and international expansion.

Key Responsibilities

1. Strategic Regulatory Transition (FCA Authorisation)

• Lead the internal project to prepare the firm for regulation. Conduct a gap analysis of current operations against FCA Threshold Conditions.
• Advise on the optimal route to regulation (Appointed Representative vs. Direct Authorisation) and manage the application process (Forms A, A, and V).
• Draft and implement the necessary compliance manuals, systems, and controls (SYSC) required for authorisation.

2. Financial Promotions & Communications

• Act as the gatekeeper for all marketing communications and Information Memorandums (IMs).
• Strictly enforce compliance with Section 21 of FSMA, ensuring all promotions adhere to exemptions for High Net Worth (Article 48) and Sophisticated Investors (Article 50) under the Financial Promotion Order (FPO).
• Sustainability Compliance: Ensure all marketing materials comply with the FCA’s Anti-Greenwashing Rule, ensuring our claims are clear, fair, not misleading, and substantiated by evidence.

3. International Securities Law

• Provide guidance on cross-border solicitation rules as we expand.
• Advise on US Securities laws (e.g., Regulation D, Regulation S) and EU marketing rules to ensure we remain compliant when dealing with international investors.

4. AML & KYC Oversight

• Oversee the onboarding process for investors, ensuring robust KYC/AML checks are performed in line with the Money Laundering Regulations 2017.
• Verify "Sophisticated" and "HNW" investor status certifications before any promotion is communicated.

The Ideal Candidate

• Legal Background (Non-Negotiable): You must hold a Law Degree (LLB, JD, or equivalent).
• Regulatory Expert: Deep knowledge of the FCA Handbook (specifically COBS, PERG, and SYSC) and the FSMA Financial Promotions Order.
• Private Markets Experience: You have previously worked with firms dealing in private equity, venture capital, or unregulated collective investment schemes (UCIS).
• International Reach: Proven experience or strong working knowledge of international securities laws (US/EU) regarding private placements.
• Commercial Mindset: You are pragmatic. You understand how to protect the business without stifling its ability to raise capital.

Why Join Us?

• High Impact: You will be setting the regulatory foundation for a high-growth firm.
• Flexibility: A genuine part-time role that respects your time, perfect for a consultant or experienced professional managing a portfolio of work.
• Sustainable Mission: Be part of a firm that prioritises wealth creation with a conscience.

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How to Apply

Note: This is a syndicated job post. Fractional Jobs found it on the web, but we are not working with the client directly, so we don't have control over or knowledge of the application process. To apply, click on the "View Application" button and follow the application's instructions. Let us know how it goes!