Matt Carter

Head of Financial Crime- SMF17Sector: Investment ManagementOverviewAs 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.

Compliance Monitoring Officer Overview  As a Compliance Monitoring Officer, you will be responsible for conducting second-line file reviews and thematic assessments of investment management activities. Key Responsibilities: Producing high-quality monitoring reports summarising findings, trends, and recommendations for remedial actionCollaborating with the Training & Competence (T&C) team to support training and awareness initiatives on suitability and regulatory expectations.Conducting detailed reviews of client files to assess the suitability and appropriateness of investment advice and portfolio recommendationsExperience & Qualifications:At least 3 years’ experience in compliance monitoring, audit, or quality assurance within investment management or wealth management.Level 4 Investment Advice Diploma (IAD) or equivalent (e.g., CISI, CII).Strong working knowledge of FCA rules, particularly around suitability

Compliance Advisory Associate Overview   As the Compliance Advisory Associate, you will be working with the wider Risk & Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Key Responsibilities:Provide advice, training, and guidance to the business on regulatory mattersWorking on regulatory horizon scanning and anticipating upcoming regulatory changes.Support the review of Financial PromotionsAssist in determining the relevance and impact of regulatory change and provide practical support on the implementation of any necessary changes.Manage ad hoc regulatory queries from the business Experience & Qualifications:Previous experience in a similar Compliance role within Wealth & Investment Management.Detailed, and current, technical knowledge of the FCA Handbook (Consumer Duty, SYSC, COBS, SMCR)  and other relevant regimes.Strong attention to detail

Senior Compliance Policy Officer Overview   As the Senior Compliance Policy Officer, you will be key member of the Compliance team to help the business meet the requirements of the FCA and other relevant regulators. Playing a key role in the business-critical implementation of the key policies for the business. A senior source of knowledge and advice and play a vital role in ensuring that regulatory developments are anticipated, interpreted, and embedded into our business operations. Key Responsibilities:Providing regulatory advice to the business, acting as a subject matter expert on policy.Ownership of the firm’s compliance policy framework.Leading on regulatory horizon scanning and anticipating upcoming regulatory changes.Engaging proactively with internal and external stakeholders to support our culture of compliance.Experience & Qualifications:Previous experience in a similar role within Investment Management or Financial ServicesMinimum holder of CISI Level 3 Investment Operations CertificateWilling to complete CISI Level 6 Compliance Diploma, or equivalent Compliance qualificationDetailed, and current, technical knowledge of the FCA Handbook, MiFID II, MAR, SMCR, AML, and other relevant regimes.

Compliance Monitoring Manager   Overview   An exciting opportunity has arisen to join a well-established Financial Services company where you will lead, manage and shape the Compliance Monitoring function and team. Some Key Responsibilities:Lead on the development and implementation of a risk-based Compliance and Central monitoring planOversee the execution and timely delivery of thematic reviews and regular testing, including complex thematic reviewsPrepare detailed compliance reports for senior management and the board, highlighting key findings, risks, and remediation actions Experience & Qualifications: CISI or CII level 4 qualificationsPrevious experience of managing people and teamsPrevious experience of working in a similar Compliance Monitoring position for 5 years