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Job Specification


£60K-£75K + Benefits | North West London
Ref: 3728D

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our client, a mid size friendly IFA and Private Wealth Manager, is looking to appoint a new Head of Compliance & Money Laundering Reporting Officer, to continue the enhancement, implementation and adherence of all FCA regulations and guidelines and risk management systems across the firm. Managing an experienced team, responsibilities will include, 

·      Holding the SMF16 Compliance Oversight Function and reporting to the Board and senior management about the firm's compliance with the regulations and rules that apply to a firm as set out in the FCA handbook and in particular adherence to the SMCR regime, COBS, MCOBS and SYSC

·      Maintaining policies and procedures, systems & controls to ensure that the Group remains regulatory compliant and are regularly reviewed

·      Assessing delivery of conduct risk and assisting in embedding key regulatory, FCA  and client requirements into the services provided and firms culture

·      Provide a real time advisory service to the firm’s staff on any issues 

·      Holding SMF17 and ensuring the firms’ financial crime and anti-money laundering procedures are kept up to date at all times and staff notified of any changes.

·      Produce an annual financial crime/anti-money laundering report for the firms’ senior management teams, commenting on the operating and effectiveness of relevant procedures.

·      Ensure all individuals within the firm adhere to the money laundering requirements.

·      Receive and review suspicious activity reports and decide whether information needs to be escalated to the National Crime Agency.

You should have experience of Compliance including a good knowledge of Conduct of Business Rules with regards to sales from within a Retail Financial Services environment and either have held SMF 16 & 17 before, or else be able and willing to take on. NB The office is opposite a tube station (or near to the North Circular if driving with easy parking) 


For further information or a confidential no obligation discussion, please feel free to call our MD,  David Symes FCA on 020 7330 6966 or send your details to him at                

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