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- Tasks: Lead compliance oversight and anti-money laundering efforts in a flexible part-time role.
- Company: Join a boutique wealth management firm dedicated to exceptional financial solutions and ethical conduct.
- Benefits: Enjoy flexible hours, hybrid working options, and a supportive team environment.
- Why this job: Shape the compliance function while contributing to a trusted firm's success and reputation.
- Qualifications: Significant compliance experience, ideally in wealth management, with strong knowledge of FCA regulations.
- Other info: Applications are reviewed on a rolling basis; early submissions are encouraged.
The predicted salary is between 45000 - 105000 £ per year.
Part-Time Head of Compliance (SMF16 & SMF17)
Location: Cheshire West
Position: Head of Compliance (SMF16 & SMF17)
Job Type: Part-Time (2 days per week – flexible hours)
Salary: c.£75,000 pro rata
Our client is a boutique wealth management firm committed to delivering exceptional financial solutions to their clients. With a focus on high-quality advice and service, they uphold the highest standards of regulatory compliance and ethical conduct.
They are seeking an experienced compliance professional to take on the dual responsibility of SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer). This part-time role is crucial to ensuring our firm’s adherence to FCA regulations, managing compliance risks, and safeguarding our reputation as a trusted wealth management provider.
Key Responsibilities:
- Compliance Oversight (SMF16):
- Maintain and oversee the firm’s compliance framework, policies, and procedures.
- Monitor adherence to FCA regulations, including SYSC, COCON, and Conduct of Business rules.
- Lead compliance monitoring and reporting activities, ensuring timely submissions to regulators.
- Provide compliance advice to senior management, ensuring regulatory developments are implemented effectively.
- Money Laundering Reporting Officer (SMF17):
- Serve as the principal point of contact with the FCA and other regulatory bodies on AML/CTF matters.
- Oversee the firm’s anti-money laundering (AML) and counter-terrorist financing (CTF) policies.
- Conduct risk assessments, transaction monitoring, and suspicious activity reporting (SAR).
- Deliver training on AML and financial crime prevention across the firm.
- Act as a trusted advisor to senior leadership, promoting a culture of compliance and ethical conduct.
- Ensure the firm is prepared for regulatory audits and inspections.
Requirements:
- Significant experience in compliance, ideally within wealth management, financial planning, or a related financial services sector.
- Detailed knowledge of FCA regulations, SM&CR, AML/CTF requirements, and GDPR.
- Proven track record in a leadership role, with experience acting as an SMF16 and/or SMF17.
- Exceptional communication and stakeholder management skills, with the ability to influence at all levels.
What’s on Offer:
- A flexible part-time role with hybrid working options.
- The opportunity to shape and lead the compliance function within a growing, client-focused firm.
- A supportive and collaborative working environment.
How to Apply:
If you are a highly motivated compliance professional looking for a part-time leadership role, we’d love to hear from you. Please submit your CV and a cover letter detailing your suitability for the role to
Applications will be reviewed on a rolling basis, so early submissions are encouraged.
Join us in maintaining the highest standards of compliance and contributing to our firm’s continued success!
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Head of Compliance (Part-Time) employer: MERJE Ltd
Contact Detail:
MERJE Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance (Part-Time)
✨Tip Number 1
Make sure to highlight your experience in compliance, especially within wealth management or financial services. Tailor your discussions to showcase how your background aligns with the specific requirements of SMF16 and SMF17.
✨Tip Number 2
Network with professionals in the compliance field, particularly those who have worked in similar roles. Engaging with industry peers can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Stay updated on the latest FCA regulations and compliance trends. Being knowledgeable about current developments will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 4
Prepare to discuss your leadership style and how you would promote a culture of compliance within the firm. Think of examples where you've successfully influenced stakeholders at various levels.
We think you need these skills to ace Head of Compliance (Part-Time)
Some tips for your application 🫡
Tailor Your Cover Letter: Make sure to customize your cover letter to highlight your experience in compliance, particularly within wealth management. Emphasize your knowledge of FCA regulations and your previous roles as SMF16 and SMF17.
Showcase Relevant Experience: In your CV, clearly outline your significant experience in compliance and any leadership roles you've held. Include specific examples of how you've managed compliance risks and ensured adherence to regulations.
Highlight Communication Skills: Given the importance of stakeholder management in this role, be sure to illustrate your exceptional communication skills. Provide examples of how you've influenced senior management or led training sessions on compliance matters.
Express Your Motivation: In both your CV and cover letter, convey your enthusiasm for the part-time nature of the role and your commitment to maintaining high standards of compliance. This will show that you are a good fit for their client-focused environment.
How to prepare for a job interview at MERJE Ltd
✨Showcase Your Compliance Expertise
Be prepared to discuss your extensive experience in compliance, particularly within wealth management. Highlight specific examples where you've successfully implemented compliance frameworks or navigated complex regulatory environments.
✨Demonstrate Leadership Skills
As this role involves a leadership position, be ready to share instances where you've led teams or influenced senior management. Discuss how you foster a culture of compliance and ethical conduct within an organization.
✨Understand FCA Regulations Thoroughly
Make sure you have a solid grasp of FCA regulations, SM&CR, and AML/CTF requirements. Prepare to answer questions on how these regulations impact the firm's operations and how you would ensure adherence.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past challenges you've faced and how you resolved them, especially regarding suspicious activity reporting and regulatory audits.
