FD Capital Recruitment
Head of Compliance and MLRO (SMF16 / SMF17
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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.
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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
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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
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