Matt Carter

Compliance Manager   Overview   To ensure compliant delivery of service excellence and operational effectiveness, ensuring that internal policies and procedures are up to date and adhere to FCA and other regulatory requirements. Monitoring and reporting on corporate standards with regard to compliance with all regulatory requirements. Key Responsibilities:Responsible for the creation, evolution, and implementation of an appropriate monitoring regime across all group entities to ensure compliance standards are maintained and timely remedial actions are taken where necessary.Responsible for the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant group-level regulatory returns.Ensure financial promotions across the group meet regulatory and internal business standards prior to approval, maintaining consistency in interpretation and application.Identify all areas across the group where compliance oversight is required to ensure regulatory requirements and industry best practices are metStay informed of changes in the regulatory landscape and assess potential impacts on the group's operations, working proactively with senior colleagues to develop plans that ensure continued compliance.Ensure all change initiatives are managed within the appropriate risk management framework (including financial and operational risk) and follow the group's authorisation structure for any process amendments. Experience & Qualifications:CII level 4 Diploma in Financial Services and/or relevant compliance qualificationsWorking knowledge of FCA Principles and RulesPrevious experience in a similar role within the Wealth Management and Financial Planning industry

Business Quality File Reviewer Overview   To act as quality control for advice through file checking, to ensure that advice meets business and regulatory requirements. Assist with the management of business issues and complaint investigations to resolution. Key Responsibilities: Review pre-and-post advice files in line with the firms’ T&C schemeProvide technical and regulatory support to advise teams where appropriate.Maintain awareness of the regulatory environment which may have an impact on the business.Comply with compliance procedures, including TCF, Data Protection and FCA Regulations at all times.Complete file checking feedback documentsEnsure file checking data is collated and kept up to dateExperience & Qualifications:Level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)-  (approaching DipPFS may be considered)Working knowledge of FCA Principles and Rules.Good understanding of the Financial Planning process.Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry

Head of Financial Crime- SMF17 Location: (Hybrid) Sector: Investment Management Overview As the Head of Financial Crime you will be responsible for ensuring that the firm complies with its obligations under UK anti-money laundering (AML), counter-terrorist financing (CTF), and broader financial crime legislation and regulation. Acting as the firm’s FCA-approved SMF17, the MLRO will oversee financial crime systems and controls, manage suspicious activity reporting, and provide strategic guidance to the business on mitigating financial crime risks. Key Responsibilities:Lead the implementation, and maintenance of AML/CTF and financial crime prevention frameworks.Provide regular management information and reports to your reporting line, the Board and senior stakeholders.Keep up to date with regulatory developments and industry best practices, advising the business on changes.Receive, review, and investigate internal suspicious activity reports (SARs), escalating to the National Crime Agency (NCA) as appropriate.Provide leadership, guidance, and mentorship to the compliance/financial crime team.Deliver AML/CTF training to staff and promote a strong compliance culture across the organisation.Act as the primary liaison with regulators, law enforcement, and auditors on financial crime matters. What You’ll BringSignificant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth & Investment managementPreviously held the SMF17 is essential.Excellent written and verbal communication skills, with confidence to engage with regulators and senior stakeholders.Expert knowledge of UK AML/CTF legislation and FCA regulatory requirements.Strong leadership skills with the ability to influence at all levels of the business.

Head of Financial Crime- SMF17 Location: (Hybrid) Sector: Investment Management Overview As the Head of Financial Crime you will be responsible for ensuring that the firm complies with its obligations under UK anti-money laundering (AML), counter-terrorist financing (CTF), and broader financial crime legislation and regulation. Acting as the firm’s FCA-approved SMF17, the MLRO will oversee financial crime systems and controls, manage suspicious activity reporting, and provide strategic guidance to the business on mitigating financial crime risks. Key Responsibilities:Lead the implementation, and maintenance of AML/CTF and financial crime prevention frameworks.Provide regular management information and reports to your reporting line, the Board and senior stakeholders.Keep up to date with regulatory developments and industry best practices, advising the business on changes.Receive, review, and investigate internal suspicious activity reports (SARs), escalating to the National Crime Agency (NCA) as appropriate.Provide leadership, guidance, and mentorship to the compliance/financial crime team.Deliver AML/CTF training to staff and promote a strong compliance culture across the organisation.Act as the primary liaison with regulators, law enforcement, and auditors on financial crime matters. What You’ll BringSignificant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth & Investment managementPreviously held the SMF17 is essential.Excellent written and verbal communication skills, with confidence to engage with regulators and senior stakeholders.Expert knowledge of UK AML/CTF legislation and FCA regulatory requirements.Strong leadership skills with the ability to influence at all levels of the business.

Head of Financial Crime- SMF17 Location: (Hybrid) Sector: Investment Management Overview As the Head of Financial Crime you will be responsible for ensuring that the firm complies with its obligations under UK anti-money laundering (AML), counter-terrorist financing (CTF), and broader financial crime legislation and regulation. Acting as the firm’s FCA-approved SMF17, the MLRO will oversee financial crime systems and controls, manage suspicious activity reporting, and provide strategic guidance to the business on mitigating financial crime risks. Key Responsibilities:Lead the implementation, and maintenance of AML/CTF and financial crime prevention frameworks.Provide regular management information and reports to your reporting line, the Board and senior stakeholders.Keep up to date with regulatory developments and industry best practices, advising the business on changes.Receive, review, and investigate internal suspicious activity reports (SARs), escalating to the National Crime Agency (NCA) as appropriate.Provide leadership, guidance, and mentorship to the compliance/financial crime team.Deliver AML/CTF training to staff and promote a strong compliance culture across the organisation.Act as the primary liaison with regulators, law enforcement, and auditors on financial crime matters. What You’ll BringSignificant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth & Investment managementPreviously held the SMF17 is essential.Excellent written and verbal communication skills, with confidence to engage with regulators and senior stakeholders.Expert knowledge of UK AML/CTF legislation and FCA regulatory requirements.Strong leadership skills with the ability to influence at all levels of the business.

Training & Competence Supervisor (Level 4 Diploma Qualified)   Overview  An opportunity has arisen to join one of the fastest growing Financial Advisory and Wealth Management firms in the UK  Responsibilities Provide ongoing supervision to advisers in line with supervisory standards set within the functionProvide training to advisers to develop their skills and competenciesCompletion of annual and additional risk based one to ones with advisersProvision of technical, supervisory and compliance support to new and existing advisersProviding appropriate feedback to individual advisersManaging induction and supervision of new entrants Skills and ExperienceExcellent communication skillsLevel 4 Diploma qualifiedGood product and technical knowledge across all aspects of financial services with particular knowledge and experience of all types of pensions and investmentsIdeally 3 years + experience of working in a T&C position

Overview  A File Reviewer opportunity has arisen to join an established team working as part of the wider Compliance Function. Responsibilities Part of a dynamic compliance team reviewing cases submitted by financial advisersAssisting answering enquires from advisers by email and telephoneSkills and ExperienceIdeally Level 4 Diploma qualifiedStrong written and verbal communication skillsExperience with a variety of products, Pensions, Investments & Mortgages.Experience of working in a compliance, file checking, or paraplanning position