Coban Capital
Interim Compliance Oversight (SMF30) & MLRO
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Company Description
Coban Capital is an investment management company trading across global financial markets, founded in 2020 and led by Mr. Mbai. The firm is dedicated to advancing investor interests by aiming to deliver strong, risk-adjusted returns. Its investment activities are governed by a robust risk framework designed to protect capital and ensure regulatory integrity. Experienced investment professionals drive Coban Capital’s strategies, creating a disciplined and performance-oriented culture. The organization values transparency, strong governance, and careful oversight in all aspects of its operations.
Role Description
The Interim Compliance Oversight (SMF30) & MLRO role at Coban Capital is a part-time, remote position responsible for leading the firm’s compliance and anti-money laundering (AML) framework. Day-to-day tasks include:
- Monitoring adherence to applicable regulations
- Reviewing and updating compliance policies and procedures
- Providing independent oversight of key risk areas
The role involves acting as MLRO, managing suspicious activity reporting, maintaining AML records, and ensuring appropriate customer due diligence processes are in place and effective. The individual will collaborate with leadership to deliver training on regulatory requirements, prepare internal compliance reports, and support regulatory filings and interactions with supervisory authorities. This role also includes advising on new products or strategies from a compliance and conduct risk perspective and recommending improvements to internal controls.
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Qualifications
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- Strong expertise in compliance oversight, including regulatory frameworks relevant to investment management and SMF30 responsibilities.
- Demonstrated experience in AML and counter-terrorist financing, including customer due diligence, transaction monitoring, and suspicious activity reporting as an MLRO or similar function.
- Sound understanding of risk management principles, internal controls, and governance structures within financial services organizations.
- Excellent analytical, problem-solving, and decision-making skills, with the ability to interpret complex regulations and apply them pragmatically.
- Clear, concise written and verbal communication skills, including the ability to prepare reports for senior leadership and regulators.
- Proven ability to work independently in a remote setting, manage part-time hours effectively, and maintain high standards of integrity and professional judgment.
- Previous experience in investment management, brokerage, or banking environments is highly beneficial.
- Relevant professional qualifications (e.g., ICA, CAMS, CFA or other compliance/AML certifications) and/or a degree in law, finance, business, or a related field are preferred.
- Previous experience in a senior FCA compliance or MLRO role
- Ideally previous approval as SMF30 and/or SMF17, or equivalent legacy CF10/CF11 experience
- Strong knowledge of SYSC, SUP and the Money Laundering Regulations 2017
- Experience working with smaller, entrepreneurial or growing financial services businesses
- Comfortable operating independently on a fractional / portfolio basis
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