Position title

Head of Compliance and MLRO (SMF16 / SMF17)

Description

Head of Compliance & MLRO (SMF16 / SMF17)
Location: London, United Kingdom
Sector: FCA-Regulated Investment Management
Type: Permanent
Confidential Appointment

We are supporting a FCA-regulated investment management firm seeking to appoint a permanent Head of Compliance & MLRO as part of a broader phase of organisational development and long-term strategic growth.

This is a senior leadership appointment offering the opportunity to shape and strengthen the compliance and financial crime framework of a regulated investment business operating within a dynamic and evolving environment.

The successful candidate will hold responsibility for Compliance Oversight (SMF16) and Money Laundering Reporting (SMF17) and will work closely with the Board and senior leadership team to ensure the firm maintains a strong and commercially effective regulatory culture.

Responsibilities

Key Responsibilities

Perform the SMF16 Compliance Oversight and SMF17 MLRO functions under SMCR
Lead the firm’s compliance, regulatory and financial crime framework
Provide strategic regulatory advice to the Board and senior management
Maintain and enhance compliance monitoring, governance and risk management processes
Oversee AML, sanctions and financial crime controls and reporting obligations
Manage FCA communications, regulatory submissions and supervisory interactions
Ensure ongoing compliance with FCA Handbook requirements including SYSC, COBS and SMCR obligations
Support new business initiatives, operational change and governance enhancement projects
Promote a strong culture of conduct, accountability and regulatory awareness across the business

Qualifications

Candidate Requirements

Significant experience within FCA-regulated investment management, wealth management or alternative investment firms
Previously approved as SMF16 and/or SMF17 by the FCA
Strong technical knowledge of UK regulatory requirements relevant to discretionary investment management businesses
Demonstrable experience engaging directly with regulators and senior stakeholders
Commercially minded with the ability to balance regulatory oversight with business objectives
Strong leadership, communication and stakeholder management capabilities

Job Benefits

Salary in the range £130,000 - £170,000 depending on experience

Contacts

FD Capital are a leading recruiter for regulated busineses

Part-Time MLRO and AML/CFT Compliance Specialist

Interim Head of Compliance and MLRO (SMF16 / SMF17)

Hiring organization