SMF​/SMF– Head of Compliance & MLRO

Position: SMF16 / SMF17 – Head of Compliance & MLRO
Location: Southend-On-Sea

SMF
16 / SMF
17 – Head of Compliance & MLRO Boutique Asset manager – Canary Wharf

Location:

Canary Wharf – 2 days per week in office Salary: £90k - £110k Level: Senior Management Function (SMF
16 & SMF
17) The Opportunity A boutique Asset Management firm based in canary wharf is seeking an experienced Head of Compliance & MLRO to take on the SMF
16 and SMF
17 functions . This is a senior, high-impact role offering real visibility and influence, working closely with the Board and playing a key part in the firm’s ongoing governance and regulatory framework. The role would suit a hands-on compliance leader who is comfortable operating in a boutique asset management environment , acting as the primary FCA contact and owning compliance and financial crime matters end-to-end.

Key Responsibilities Compliance (SMF
16) Overall responsibility for the firm’s compliance framework , ensuring ongoing adherence to FCA rules and regulatory expectations. Act as the firm’s main point of contact with the FCA , managing regulatory correspondence, notifications, and supervisory interactions. Advise the Board and senior management on regulatory developments, conduct risk, and governance issues . Oversee investment compliance, including:
Investment restrictions and mandates Conflicts of interest Best execution Market conduct and financial promotions Product governance (PROD) Design and deliver the Compliance Monitoring Programme , reporting findings and driving remediation. Own and maintain the firm’s SMCR framework , including Statements of Responsibilities, fitness & propriety, and conduct rules matters. Support compliance training and embed a strong compliance culture across the business.

Financial Crime & MLRO (SMF
17) Act as Money Laundering Reporting Officer , with full responsibility for AML/CTF compliance. Maintain the firm’s financial crime risk assessment , policies, and controls. Oversee CDD/EDD, onboarding, ongoing monitoring, and sanctions screening. Review internal disclosures and determine submission of SARs to the NCA. Provide regular AML and financial crime reporting to the Board. Governance & Senior Stakeholder Engagement Attend Board meetings and provide independent challenge and assurance .

Escalate material regulatory or financial Key Skills FCA-regulated asset management or closely related experience Strong knowledge of FCA rules and SMCR Experience as primary regulator contact Integrity, judgement, and independent challenge