Part-Time Compliance Officer & MLRO (SMF16 & SMF17)
An ideal candidate must hold a relevant FCA-recognized regulatory qualification
2 days a week

Fram are working with a boutique Wealth Manager based in London. Due to a retirement, they are seeking a Part-Time Compliance Officer and MLRO to join their team, holding key roles within our FCA-regulated business as SMF16 and SMF17. This is a unique opportunity to maintain the current compliance landscape of the company that leverages advanced quantitative models to provide top-tier wealth management services to a select group of high-value retail clients. The firms’ innovative processes go beyond traditional advisory models, focusing on achieving excellent client outcomes. Key Responsibilities :

Hold the designated FCA functions of SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer).
Provide part-time leadership in compliance, ensuring the business not only meets but exceeds regulatory standards.
Oversee regulatory compliance with a focus on our unique quantitative processes that differ from traditional models.
Lead compliance-related business projects and changes, including a major initiative to upgrade our back-office and front-office data management systems.
Inspire a culture of client service excellence within our operational teams, motivating them to exceed expectations.
Take charge of the company’s regulatory compliance, working closely with the Chairman, Executive Team, and Staff to maintain high standards.
Lead and motivate teams to consistently deliver exceptional client service while adhering to regulatory guidelines.
Oversee compliance for our advisory team through regular checks, constructive feedback, annual reviews, and performance tracking.
Manage and resolve compliance issues with a focus on identifying and addressing root causes to prevent reoccurrences.
Ensure systems and controls meet FCA standards and follow best practices.
Provide accurate and timely management information to the Board as needed.
Champion a culture of compliance and good business practices aligned with company guidelines.
Ensure your responsibilities comply with the FCA’s Senior Manager & Certification Regime standards.

An ideal candidate must hold a relevant FCA-recognized regulatory qualification and have a strong knowledge of FCA requirements and record-keeping standards. Have proven experience in a similar leadership role within financial services, particularly in compliance. A proactive approach to anticipating market changes that could impact the business. Excellent communication skills, both written and verbal, with the ability to influence diverse audiences. Strong negotiation skills and the ability to effectively engage and motivate teams and experience within a MIFID-regulated firm is advantageous but not essential. If you’re looking for a part-time role ideally 2 days a week where your expertise will make a significant impact, we’d love to hear from you!

Part time Compliance Manager

Public Policy Manager

Public Policy Manager

Policy Manager