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 ...