Head of Compliance, MLRO, ED

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Company Our client is an asset and wealth management specialist, based in London. This is a stand‑alone role that is both strategic and operational, covering SMF3, SMF16 and SMF17 responsibilities as well as hands‑on compliance activities. Responsibilities
Act as the firm’s Compliance Officer (SMF16), MLRO (SMF17) and ED (SMF3). Design, implement, and maintain the firm’s compliance and AML/CTF framework, ensuring alignment with FCA rules, guidance, and regulatory developments. Monitor, interpret, and implement new and updated FCA regulatory requirements, ensuring timely communication and adoption across the firm. Perform and oversee day‑to‑day compliance activities, beyond SMF16/17 statutory duties. Oversee and conduct CDD, EDD, KYC, client onboarding, and ongoing due diligence reviews. Support and manage SM&CR obligations, including certification, Conduct Rules training, and maintenance of Statements of Responsibilities. Draft, review, and maintain compliance policies, procedures, and internal controls. Provide second‑line oversight of business activities, including transaction reporting and regulatory filings where applicable. Act as the primary point of contact with the FCA and other regulators, including regulatory correspondence, information requests, and inspections. Investigate complaints, compliance issues, and incidents, preparing regulator‑ready responses where required. Deliver compliance, AML, and Conduct Rules training to staff and senior management. Support compliance monitoring, assurance reviews, and internal audits. Overall executive responsibility for asset management business, including investment operations, portfolio management governance, and operational oversight. Oversight of investment decision‑making frameworks, including approval of investment strategies, mandates, and risk limits. Ensure effective portfolio governance, including valuation, performance monitoring, conflicts management, and best execution. Responsibility for the firm’s risk management framework, including market, liquidity, operational, and regulatory risk. Ensure the firm’s asset management activities comply with FCA rules, SM&CR requirements, and applicable UK regulatory standards. Oversight of financial performance, budgeting, and resource allocation for the asset management function. Act as the senior point of contact with the FCA and other regulators on asset management‑related matters. Ensure clear allocation and effective oversight of prescribed responsibilities across senior management and key functions.
Experience Required
FCA‑approved experience as SMF16 and/or SMF17. Minimum 7 years’ senior experience in the asset management field within a UK regulated financial institution. Strong practical knowledge of the FCA Handbook, SM&CR, Conduct Rules, AML regulations, and financial crime controls. Experience managing regulatory change and FCA updates within a firm. Experience engaging with Boards, regulators, and senior stakeholders.
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Location:
Greater London
Job Type:
FullTime

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