Compliance Professionals
SMCR Associate (6 month contract)
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SMCR Associate (6 month contract)
SMCR Associate (6-Month Contract)
A prestigious private bank with a significant and growing presence in the UK is seeking an SMCR Associate on a 6-month contract basis.
Key Responsibilities
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Design, maintain, and embed the firm’s Training & Competence (T&C) policy and procedures, aligned to FCA requirements and the firm’s risk appetite.
- Own the Certified Persons and Senior Managers training strategy, ensuring staff are competent, remain competent and understand their responsibilities under the regime.
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Operate and continuously improve Fit & Proper assessments for Senior Managers and Certified Persons, including:
- Annual/trigger reviews
- Evidence capture
- Escalation pathways
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Manage the annual T&C processes, covering:
- Certification
- SPS renewals
- Conduct Rules training/attestations
- Breach reporting
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Keep the FCA directory for Certified Persons accurate and reconciled
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Support the Head of Regulatory Compliance to maintain the firm’s Management Responsibilities Map (MRM)
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Assist in producing policy materials and forms for:
- Senior Managers FCA/PRA applications, changes, and withdrawals
- Submission handling
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Conduct skills-gap analysis and develop tailored training plans for Senior Managers Functions (SMFs)
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Define:
- Role-based competence standards
- Learning pathways
- Supervision KPIs
- CPD requirements
- Oversee remediation plans
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Build and deliver a risk-based curriculum
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Source and manage external providers and qualifications (e.g., CISI, CII)
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Implement blended learning and track completion/effectiveness
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Produce Management Information
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Partner with stakeholders across relevant business areas
About You
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Demonstrable experience in T&C, L&D, or SMCR roles
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Strong knowledge of SMCR (Senior Managers, Certification, Conduct Rules) and Fit & Proper requirements
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Knowledge of the FCA Handbook (COCON, SYSC, TC, FIT)
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Provable experience with:
- Running certification cycles
- Developing competence frameworks
- Conducting QA/file reviews
- Reporting via Management Information (MI)
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Preferred qualification: CISI/CII/ICA/CIPD or any Train-the-Trainer/assessor certifications
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Outstanding policy writing, governance, and documentation skills
For further information, please contact Natalie Eshelby.
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