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.

Retail Asset Management Compliance

• 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.

Monitoring & Risk Management

• 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.

Advisory & Regulatory Change

• 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.

Culture, Training & Leadership

• 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).