Accredited Member of GBC 
Accredited Member of LWF 
Carbon Offset via TreeNation FD Capital Recruitment Ltd is registered at Companies House (no. 13329383) and has been providing CFOs and Finance Directors since 2018 and is operated by an ICAEW-registered practice. Our founder Adrian Lawrence FCA holds an ICAEW practising certificate.
Position title
Interim Head of Compliance and MLRO (SMF16 / SMF17)
Description
Location: London, United Kingdom
Sector: FCA-Regulated Investment Management
Type: Interim / Contract
Confidential Mandate
We are supporting an FCA-regulated investment management firm undergoing a period of strategic transition and governance enhancement following a recent corporate transaction.
The firm is seeking an experienced senior regulatory professional to provide interim leadership across Compliance Oversight (SMF16) and Money Laundering Reporting (SMF17). The assignment requires an individual with deep understanding of the UK regulatory framework applicable to discretionary investment management businesses and experience engaging directly with the FCA.
This is a highly visible role suited to a pragmatic, commercially minded compliance leader capable of operating effectively within a changing environment while maintaining robust regulatory standards.
Responsibilities
Key Responsibilities
- Act as SMF16 Compliance Oversight and/or SMF17 MLRO under the FCA Senior Managers & Certification Regime (SMCR)
- Maintain and enhance the firm’s compliance monitoring framework and regulatory controls
- Oversee AML, financial crime and sanctions compliance arrangements
- Lead regulatory engagement and manage interactions with the FCA where required
- Advise the Board and senior management on regulatory obligations and governance matters
- Support ongoing operational and organisational transition activities
- Review and strengthen policies, procedures and risk frameworks
- Ensure appropriate regulatory reporting and notification obligations are met
- Provide assurance across conduct risk, client asset considerations and investment management controls where relevant
Qualifications
Candidate Profile
- Previously approved by the FCA as SMF16 and/or SMF17 within an investment management, wealth management or alternative investment environment
- Strong working knowledge of FCA Handbook requirements, including SYSC, COBS and financial crime obligations
- Experience operating within discretionary fund management or portfolio management businesses
- Proven ability to manage regulatory change, remediation or transitional mandates
- Comfortable working directly with Boards, shareholders and external advisers
- Available to commence at short notice preferred
Additional Information
- London-based role with flexibility depending on candidate circumstances
- Both interim and permanent structures may be considered
- Competitive day rate/package available depending on experience and scope
- All discussions will be handled on a strictly confidential basis
Job Benefits
Attractive day rate in the range £850-£1,150 per day
Contacts
FD Capital are a leading recruiter for the FCA regulated businesses
Prev
Head of Compliance and MLRO (SMF16 / SMF17)
Next
Fractional Head of Compliance and MLRO (SMF16 / SMF17)
Hiring organization
Employment Type
Temporary
Beginning of employment
1st June 2026
Duration of employment
Perm
Industry
Financial Services
Job Location
London, South East, United Kingdom
Working Hours
9-5
Base Salary
£850-£1,150 Per day
Date posted
May 23, 2026
Valid through
June 30, 2026
PDF Export