Compliance Officer - SMF16 - Asset Management
Regulatory Oversight & SMF16 Responsibilities
- Hold the SMF16 Compliance Oversight function, ensuring the firm meets its obligations under the FCA Handbook and the Senior Managers & Certification Regime (SM&CR).
- Lead all compliance interactions with the FCA, including thematic requests, supervisory dialogues, and regulatory submissions.
- Oversee compliance for retail investment products (e.g., funds, model portfolios), covering governance, product lifecycle management, and ongoing supervision.
- Ensure adherence to applicable FCA rules including COBS, PROD, COLL, SYSC, ESG/Sustainability Disclosure Requirements (SDR), and Consumer Duty.
- Review and approve financial promotions, KIIDs/KIDs, factsheets, website content, and client communications to ensure they are fair, clear, and not misleading.
- Oversee fund governance processes including product reviews, target market assessments, and value assessments.
- Lead the design and execution of the compliance monitoring programme, ensuring robust oversight of portfolio management, dealing practices, conflicts management, best execution, and client outcomes.
- Identify, assess, and escalate conduct and regulatory risks, providing strong challenge and clear recommendations to senior leadership and the Board.
- Provide expert guidance on regulatory change affecting retail asset managers, including Consumer Duty, SDR & labels, PRIN, and fund-related rules.
- Support investment, distribution, and operations teams with timely and pragmatic regulatory advice.
- Promote a strong culture of compliance and conduct across the firm.
- Lead compliance training and awareness programmes for employees and certified individuals.
- Oversee the Certification Regime and Fit & Proper processes (where applicable).
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