At a Glance
- Tasks: Lead compliance and financial crime framework in a dynamic investment management firm.
- Company: FCA-regulated investment management firm focused on strategic growth.
- Benefits: Competitive salary, leadership role, and opportunity to shape compliance culture.
- Other info: Senior leadership position with significant career advancement potential.
- Why this job: Make a real impact on regulatory culture and business objectives.
- Qualifications: Experience in FCA-regulated firms and strong regulatory knowledge required.
The predicted salary is between 130000 - 170000 £ per year.
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
- 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
Salary in the range £130,000 - £170,000 depending on experience.
Head of Compliance and MLRO (SMF16 / SMF17 in Slough 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 excellence not only shapes the financial landscape but also offers our team members the chance to engage with senior leadership and influence strategic decisions, making this an exceptional opportunity for those looking to make a meaningful impact in their careers.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Compliance and MLRO (SMF16 / SMF17 in Slough
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment management sector and let them know you're on the hunt for a Head of Compliance role. You never know who might have the inside scoop on opportunities or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and compliance frameworks. Be ready to discuss how you've navigated complex regulatory environments in the past, as this will show you're the right fit for the role.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Use our website to find roles that excite you and match your expertise in compliance and financial crime. Tailor your approach to each company’s culture.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way in keeping you top of mind. Share a brief insight or idea related to the discussion to reinforce your interest and expertise in compliance matters.
We think you need these skills to ace Head of Compliance and MLRO (SMF16 / SMF17 in Slough
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 role. Share specific examples of how you've shaped compliance frameworks or engaged with regulators. Let us know what makes you tick!
Showcase Your Leadership Skills:As a senior leadership position, we’re looking for strong leadership qualities. In your application, highlight instances where you've led teams or projects, especially in compliance or regulatory settings. We want to see your impact!
Apply Through Our Website:Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at FD Capital Recruitment
✨Know Your Regulations Inside Out
As a candidate for the Head of Compliance & MLRO role, it's crucial to have a solid grasp of UK regulatory requirements. Brush up on the FCA Handbook, especially SYSC, COBS, and SMCR obligations. Being able to discuss these in detail will show your expertise and readiness for the role.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Think about past experiences where you successfully navigated regulatory challenges or improved compliance frameworks. Use the STAR method (Situation, Task, Action, Result) to structure your answers effectively.
✨Showcase Your Leadership Skills
This role requires strong leadership capabilities, so be ready to discuss how you've led teams or projects in the past. Highlight instances where you promoted a culture of accountability and regulatory awareness. This will demonstrate your ability to influence and guide others in a compliance context.
✨Engage with the Board's Perspective
Since you'll be working closely with the Board and senior management, it’s important to understand their priorities. Prepare to discuss how you can align compliance strategies with business objectives. Showing that you can balance regulatory oversight with commercial goals will set you apart from other candidates.
