A leading financial institution in the City of London is seeking an experienced Senior Compliance Professional to act as SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) within an FCA-regulated business.
This is a high-profile senior role with significant regulatory responsibility, offering the opportunity to play a central part in shaping and overseeing the firm’s compliance and financial crime framework.
The Role
Reporting to senior management, the successful candidate will hold overall responsibility for the design, implementation and effectiveness of the firm’s compliance and anti-financial crime arrangements, ensuring ongoing adherence to regulatory requirements and best practice.
Key responsibilities will include:
Acting as SMF16, with oversight of the firm’s compliance framework, policies, controls and monitoring programme
Acting as SMF17, with responsibility for the firm’s AML, CTF and sanctions framework, including SAR decision-making and regulatory reporting
Ensuring compliance with Financial Conduct Authority rules, guidance and expectations
Maintaining effective systems and controls to manage regulatory and financial crime risk
Providing senior-level advice and challenge to the business on regulatory obligations and risk appetite
Overseeing regulatory engagement, including FCA correspondence, notifications and thematic reviews
Promoting a strong culture of compliance and financial crime awareness across the organisation
About You
Significant senior-level compliance experience within an FCA-regulated financial institution
Proven experience operating as, or performing the responsibilities of, SMF16 and SMF17
Strong technical knowledge of FCA rules, the UK regulatory framework and financial crime obligations
Gravitas and credibility to operate effectively at Board and senior management level
Sound judgement, independence and the ability to make balanced, defensible decisions
The Opportunity
Senior, influential role within a highly respected City institution
Competitive remuneration package, reflecting senior regulatory accountability
Opportunity to shape compliance strategy within a dynamic, regulated business
Professional, high-calibre working environment
This role is suited to a seasoned compliance leader seeking a senior appointment with clear regulatory accountability in a prestigious FCA-regulated organisation.