FCA Head of Compliance (SMF16/17)

Head of Compliance, Compliance Oversight and Money Laundering Reporting Officer (SMF16 and SMF17)Role Purpose The Head of Compliance, Compliance Oversight and MLRO (SMF16 and SMF17) provides independent second-line oversight of the firm''s regulatory compliance and financial crime framework. The role ensures compliance with FCA requirements, Consumer Duty, SMandCR, Money Laundering Regulations, Proceeds of Crime Act, Terrorism Act and financial sanctions legislation. The post holder acts as the firm''s Compliance Oversight Function (SMF16) and Money Laundering Reporting Officer (SMF17), overseeing both the Principal firm and its overseas Appointed Representative to ensure regulatory, conduct and financial crime risks are effectively identified, managed and escalated. Reporting Lines Reports to: Managing Director (SMF3) Accountable to: Board of Directors Key Stakeholders: Senior Management, Board, Overseas Appointed Representative, FCA, lender clients and external advisers. Key ResponsibilitiesCompliance and Regulatory Oversight Perform SMF16 and SMF17 responsibilities, subject to FCA approval. Maintain an effective compliance framework, policies, procedures and controls. Develop and deliver a risk-based Compliance Monitoring Programme. Conduct monitoring reviews, risk assessments and regulatory assurance activities. Provide independent regulatory advice and challenge to senior management and the Board. Monitor regulatory developments and ensure implementation of FCA and ..... full job details .....