At a Glance
- Tasks: Lead compliance and financial crime frameworks in a dynamic investment management firm.
- Company: FCA-regulated investment management firm focused on strategic growth.
- Benefits: Competitive salary of £130,000 - £170,000 and opportunities for leadership development.
- Other info: Join a senior leadership team and make a significant impact.
- Why this job: Shape the future of compliance in a fast-paced, evolving environment.
- Qualifications: Extensive experience in FCA-regulated firms and strong regulatory knowledge required.
The predicted salary is between 130000 - 170000 £ per year.
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
- 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
- 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
Head of Compliance and MLRO (SMF16 / SMF17 in London employer: FD Capital Recruitment
As a leading FCA-regulated investment management firm based in London, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our commitment to compliance and regulatory excellence not only shapes our business strategy but also empowers our team members to thrive in their careers, offering competitive salaries and the opportunity to influence the future of our organisation. Join us to be part of a forward-thinking team where your expertise will be valued and your contributions will make a meaningful impact.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance and MLRO (SMF16 / SMF17 in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the FCA-regulated investment management sector. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK regulatory requirements. Be ready to discuss how you can enhance compliance frameworks and tackle financial crime effectively.
✨Tip Number 3
Showcase your leadership skills! During interviews, share examples of how you've successfully managed teams and influenced senior stakeholders in previous roles.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities that might just be the perfect fit for you. Plus, it’s a great way to ensure your application gets noticed.
We think you need these skills to ace Head of Compliance and MLRO (SMF16 / SMF17 in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Head of Compliance & MLRO role. Highlight your experience in FCA-regulated environments and any previous SMF16/SMF17 approvals. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this senior leadership position. Share specific examples of how you've shaped compliance frameworks in the past, and don’t forget to show your passion for regulatory culture.
Showcase Your Leadership Skills:As a senior role, we’re looking for strong leadership capabilities. In your application, emphasise your experience in managing teams and engaging with senior stakeholders. Let us know how you’ve promoted a culture of accountability and compliance in your previous roles.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity. Don’t miss out on the chance to join our dynamic team!
How to prepare for a job interview at FD Capital Recruitment
✨Know Your Regulations Inside Out
Make sure you’re well-versed in the FCA Handbook and relevant regulations. Brush up on SYSC, COBS, and SMCR obligations, as these will likely come up during your interview. Being able to discuss these confidently will show that you’re not just familiar with compliance but are also ready to lead.
✨Showcase Your Leadership Skills
As a senior role, they’ll be looking for strong leadership capabilities. Prepare examples of how you’ve successfully led teams or projects in the past, especially in compliance or regulatory environments. Highlight your ability to balance regulatory oversight with business objectives.
✨Engage with Real Scenarios
Think about real-life scenarios where you had to engage with regulators or manage compliance issues. Be ready to discuss these experiences in detail, focusing on your strategic approach and the outcomes. This will demonstrate your practical knowledge and problem-solving skills.
✨Prepare Questions for Them
Interviews are a two-way street! Prepare insightful questions about their compliance culture, challenges they face, and how they envision the future of compliance within the firm. This shows your genuine interest in the role and helps you assess if it’s the right fit for you.
