At a Glance
- Tasks: Lead operations and compliance for a dynamic investment advisory firm.
- Company: Newly FCA-authorised firm with a focus on innovation and growth.
- Benefits: Competitive salary, career development support, and a chance to shape governance.
- Other info: Opportunity for FCA approval support and career advancement in a growing environment.
- Why this job: Play a key role in building a robust compliance culture and risk framework.
- Qualifications: Experience in operations and compliance within the investment sector is essential.
The predicted salary is between 80000 - 100000 £ per year.
We are a newly FCA-authorized investment advisory firm looking for an experienced professional for overseeing operations and as Head of Compliance (SMF 16) and MLRO (SMF 17). You will be the firm's senior operations and compliance officer — owning the framework, advising the Board, managing the FCA relationship, and building out AML/CTF controls. The successful candidate will play a critical role in shaping the firm's governance, regulatory culture, and risk framework as the business scales in the UK.
Key Responsibilities:
- Overseeing the operations of the UK business for the Firm
- Working closely with the Global COO team to oversee seamless business activity for the Firm
- SMF 16 — Compliance Oversight
- Own the firm's compliance framework — policies, monitoring program, and controls across COBS, PRIN, SYSC, and MAR
- Prepare and submit FCA RegData returns (MIFIDPRU) and all periodic regulatory notifications
- Lead ICARA preparation: own funds, wind-down planning, stress testing, and Board sign-off
- Review and approve financial promotions; manage conflicts of interest and personal account dealing
- Act as primary liaison with the FCA — supervisory queries, s.165 information requests, and any skilled person reviews
- Enhance, execute and track the Compliance Monitoring Program (CMP), including reporting and remediation
- Maintain and embed SMCR governance, including Statements of Responsibilities and fitness & propriety
- SMF 17 — MLRO
- Own the firm-wide risk assessment (FWRA) and AML/CTF policy suite in line with JMLSG Guidance (Sector 7)
- Oversee CDD/EDD — onboarding risk assessments, source of wealth/funds, and beneficial ownership for higher-risk clients
- Receive, adjudicate, and file SARs to the NCA; manage DAML requests under POCA 2002
- Run sanctions screening (OFSI/HMT, UN, retained EU) and PEP identification and enhanced monitoring
- Manage FATCA and CRS self-certification and HMRC reporting under the International Tax Compliance Regulations 2015
Requirements:
- Experience in managing or willingness to step up to overseeing operations for an investment advisory firm in the UK
- Prior FCA approval as SMF 16 and/or SMF 17 — or demonstrable readiness to step up to a Deputy MLRO / Senior Compliance Manager level
- Strong working knowledge of the FCA Handbook (COBS, SYSC, PRIN, MAR, SUP) applied to an investment advisory firm
- Comfortable operating as a senior compliance officer in a lean, entrepreneurial, and growing environment
This role is subject to approval by the Financial Conduct Authority under the Senior Managers & Certification Regime. Firm will fully support the candidate through the Form A process.
Head of Operations, Compliance & MLRO (SMF16 & SMF17) in Slough employer: Lighthouse Canton
As a newly FCA-authorized investment advisory firm, we pride ourselves on fostering a dynamic and supportive work environment that encourages professional growth and innovation. Our commitment to compliance and operational excellence not only shapes our governance but also empowers our employees to take ownership of their roles, ensuring a meaningful impact as we scale in the UK. With a focus on collaboration and a strong regulatory culture, we offer unique opportunities for career advancement in a rapidly evolving industry.
StudySmarter Expert Advice🤫
We think this is how you could land Head of Operations, Compliance & MLRO (SMF16 & SMF17) in Slough
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment advisory space and let them know you're on the hunt for a Head of Operations 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 the FCA Handbook. Make sure you can discuss how you've applied COBS, SYSC, and PRIN in your previous roles. This will show that you're not just familiar with the regulations but can also implement them effectively.
✨Tip Number 3
When you get an interview, don’t just talk about your experience—show your passion for compliance and operations. Share specific examples of how you've shaped governance and risk frameworks in past roles. This will help you stand out as a candidate who truly cares about the firm's success.
✨Tip Number 4
Apply through our website! We’re always looking for talented individuals like you. Plus, it gives us a chance to see your application in the best light. Don’t miss out on the opportunity to join a growing firm where you can make a real impact!
We think you need these skills to ace Head of Operations, Compliance & MLRO (SMF16 & SMF17) in Slough
Some tips for your application 🫡
Tailor Your CV:Make sure your CV reflects the specific skills and experiences that align with the Head of Operations, Compliance & MLRO role. Highlight your previous experience in compliance and operations, especially any FCA-related work, to show us you’re the right fit.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to tell us why you're passionate about compliance and operations in the investment advisory sector. Share specific examples of how you've successfully managed compliance frameworks or overseen operations in the past.
Showcase Your Regulatory Knowledge:We want to see your understanding of the FCA Handbook and how it applies to our firm. Mention any relevant regulations you’ve worked with and how you’ve implemented them in your previous roles. This will demonstrate your readiness for the responsibilities of SMF 16 and SMF 17.
Apply Through Our Website:Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Lighthouse Canton
✨Know Your Regulations Inside Out
Make sure you’re well-versed in the FCA Handbook, especially COBS, SYSC, PRIN, and MAR. Brush up on recent changes and be ready to discuss how they impact compliance and operations in an investment advisory context.
✨Showcase Your Leadership Skills
As a potential Head of Operations and Compliance, demonstrate your ability to lead and influence. Prepare examples of how you've successfully managed teams or projects, particularly in compliance or risk management.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world scenarios. Think about past experiences where you had to navigate complex regulatory challenges or manage compliance issues, and be ready to share those stories.
✨Understand the Firm's Culture and Goals
Research the firm’s mission and values. Be prepared to discuss how your vision aligns with theirs and how you can contribute to shaping their governance and regulatory culture as they scale in the UK.
