Head of Compliance SMF 16/17 - eFinancialCareers

About the Role:

We are seeking an experienced Compliance Officer & Anti-Money Laundering Officer (AMLO) to join a leading international financial services organization in London. This senior role will be pivotal in overseeing regulatory obligations in the UK, ensuring the effectiveness of global compliance and financial crime frameworks, and providing expert guidance to senior business leaders.

The ideal candidate will have deep compliance experience in asset management, strong knowledge of UK and European regulatory regimes, and a proven track record in leading compliance and AML functions.

Key Responsibilities:

Regulatory Compliance Oversight

1. Act as a senior compliance adviser, providing guidance on FCA regulations, including COBS, SYSC, FUND, and MAR.
2. Oversee SMCR obligations, including fitness & propriety assessments, conduct rules oversight, and support for Senior Managers.
3. Provide compliance input on new business initiatives, fund launches, product development, and cross-border marketing.
4. Ensure policies, procedures, and internal controls remain robust, current, and aligned with regulatory expectations and industry best practice.
5. Manage communications with the FCA, other regulators, and industry bodies.
6. Lead periodic compliance monitoring, thematic reviews, and compliance testing.
7. Support broader compliance activities, including monitoring restricted lists, personal account dealing, disclosure of interests, and electronic communications.
8. Experience with Credit & Markets investment strategies and private fund distribution is advantageous.

Financial Crime & AML

1. Serve as the organization’s Anti-Money Laundering Officer (AMLO) for the UK entity.
2. Oversee the financial crime framework, including AML, CTF, ABC, sanctions, fraud, and KYC/EDD processes.
3. Review and approve higher-risk clients, investors, and intermediaries; oversee escalations and suspicious activity investigations.
4. Maintain AML policies, risk assessments, and monitoring controls in line with UK and global standards.
5. Lead AML training programs and annual certifications across the organization.
6. Act as primary contact for financial crime audits, reviews, and regulatory examinations.

Governance & Risk Management

1. Prepare and deliver reports to senior management, risk committees, and the Board.
2. Support the annual Compliance Risk Assessment and enhancements to the compliance monitoring programme.
3. Manage regulatory filings, including FCA notifications, SMCR updates, and periodic returns.
4. Provide oversight and challenge to maintain a strong culture of compliance and responsible risk-taking.

Business Partnership & Leadership

1. Build strong working relationships with Portfolio Managers, Investor Relations, Operations, Legal, HR, and Finance.
2. Provide clear, pragmatic compliance advice to support commercial objectives within regulatory boundaries.
3. Mentor junior compliance team members and contribute to global compliance initiatives.

Qualifications & Experience

1. 10–15+ years of compliance experience within asset management or investment management.
2. Legal background preferred.
3. Strong understanding of UK regulatory frameworks, FCA expectations, and SMCR.
4. Prior exposure to the US regulatory framework is an advantage.
5. Extensive experience in financial crime, ideally in an AML/CTF leadership role.
6. Familiarity with alternative asset classes such as private equity, credit, infrastructure, or real assets is preferred.
7. Experience engaging with the FCA and handling regulatory enquiries and inspections.
8. Recognized professional qualifications (e.g., ICA, CAMS, IMC, CISI) are advantageous.
9. Exceptional communication skills, sound judgment, and a proactive, solutions-driven mindset.
10. Ability to operate confidently with senior stakeholders, including C-suite, portfolio teams, and investment committees.

Why This Role:

This is a rare opportunity to take a leadership role in a global financial services environment, shaping compliance and financial crime strategy at the highest level. You will influence strategic decision-making, support senior executives, and have a direct impact on building a strong compliance culture