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 Bring
- Significant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in wealth & Investment management
- Previously 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.
