Compliance Manager & MLRO

Compliance Manager & MLRO | Private Wealth Manager

London-Based

A rare opportunity to join a boutique private wealth manager in a senior compliance role with a clearly defined path to SMF16 and SMF17 with the full support and mentorship of an experienced senior leader.

Our client is a well-established, FCA-regulated private wealth manager supporting high and UHNW clients across the UK and internationally. Operating across multiple jurisdictions, the business provides a highly personalised, relationship-led service underpinned by a strong compliance culture. This is a lean, senior team where individuals have genuine visibility and influence at the board level.

You’ll work closely with the CEO and current SMF16/17 holder, gaining the context, relationships and regulatory depth needed to assume those functions in their own right. You will have real runway, direct mentorship and a clearly structured path to full regulatory accountability, subject to FCA approval and individual readiness.

Key Responsibilities

• Working alongside senior leadership on all regulatory compliance and financial crime matters, progressively taking ownership of the function
• Supporting and developing into the lead point of contact for regulatory bodies and government agencies
• Contributing to and, over time, chairing the quarterly Risk Management Committee
• Maintaining and reviewing all compliance and financial crime policies, procedures and controls documentation
• Overseeing the annual MLRO report, risk assessments and controls
• Delivering compliance training across the business for new and existing employees
• Managing client due diligence, transaction monitoring and timely regulatory reporting
• Supporting the firm’s operations across multiple international client jurisdictions

Experience Required

• Proven broad compliance and financial crime experience within a regulated financial services environment
• Background in private wealth management, asset management or a similarly client-facing regulated business
• Demonstrable exposure to MLRO and/or SMF-level responsibilities whether as a deputy, sole function holder in a smaller firm, or senior compliance lead
• Strong working knowledge of FCA requirements and financial crime frameworks (AML, KYC, SAR reporting)
• Confident communicator comfortable operating at board and senior management level
• Ambitious and self-motivated this is a role for someone ready to own a function, not sit within one

Our client is open to considering candidates who already hold the SMF16 and/or SMF17 functions, those currently deputising in a similar capacity, and those who are SMF-ready and looking to take the next step in their compliance career. What matters most is the right blend of technical grounding, commercial awareness and personal ambition.