Expanding Global Presence

Role: Head of Compliance and Legal, U.S.

Our client is a $30B UK based asset management firm with 17 different equity investment teams based in the UK, Europe, Asia and US.  Each team operates as an independently managed investment boutique with significant equity participation for fund managers and staff.  Each strategy has a capacity limit which is agreed upon at time of launch to achieve the goal of investment returns as opposed to asset gathering.


The firm recognized the need to put in place a Head of Compliance and Legal covering the US to provide leadership to their start-up operating in the US. The key mandate was to identify candidates with the ability to build a compliance program from scratch and  help evaluate investment teams as the firm continues to grow out its US presence.  This role will be an integral part of the firm’s US leadership team and a key person in helping them navigate the US regulatory environment.

Strategy and Result

Our target universe included Boston based asset management firms, identifying seasoned candidates who currently held a Chief Compliance Officer function with previous experience building a compliance function. We successfully recruited the Chief Compliance Officer of BNY Mellon Asset Management, which owns 23 different investment management boutiques.  This candidate had very relevant experience given that she helped build out the bank’s asset compliance program and was a central point of advice for their boutiques. In addition, she will bring leadership to the team and help in the evaluation of new investment professionals as the firm continues to grow. Charles Sterling Group completed the project in less than 60 days.