Responsibilities
- Drive the firm's FCA authorisation process forward, working with our external consultants, owning the application, the regulatory business plan, and engagement with the FCA through to permissions.
- Hold the SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer) functions, with full accountability under the Senior Managers & Certification Regime.
- Build and run the oversight framework for the firm's appointed representatives onboarding, due diligence, ongoing monitoring, and ensuring each AR operates within the firm's permissions and standards.
- Own and continuously improve the firm's policies, procedures, and compliance monitoring programme.
- Design and deliver compliance and financial crime training across the business.
- Lead the firm's risk management framework, identifying, assessing, and mitigating regulatory and operational risk.
- Serve as the primary point of contact with the FCA and act as a trusted adviser to senior management on regulatory matters.
Requirements
- Prior experience at a principal/host firm, with direct responsibility for the oversight of appointed representatives.
- Ideally, previous experience holding SMF16 and SMF17 (or readiness to be approved for both).
- Deep, current knowledge of the FCA Handbook, SM&CR, the AR regime (including the FCA's enhanced AR rules), and financial crime / AML obligations.
- A track record of taking firms through FCA authorisation or significant variations of permission.
- Experience in fund management (ideally private funds), fund administration, or financial services more broadly.
- A pragmatic, commercial mindset: you build proportionate frameworks that protect the firm without slowing it down.
- The judgement and gravitas to be the senior compliance voice in a growing, fast-moving business.
Benefits
- Ownership from day one. You will build the function and the framework, not maintain someone else's.
- A senior, operator led team that takes compliance seriously because we run the regulated activity ourselves.
- A genuinely global business with the UK at the centre of our next phase.
- The chance to shape how regulatory hosting is done for the next generation of fund managers.
Work Arrangement
Hybrid — London
Additional Information
- Location: London (hybrid)
- Type: Full-time, permanent
