Risk & Compliance Manager - (SMF4, SMF16, SMF17) – Investment Management

JR United Kingdom; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Risk & Compliance Manager to join their senior leadership team. This pivotal role involves ensuring compliance with regulatory requirements and managing risk across the business. You will be responsible for developing and implementing the risk management framework, overseeing compliance functions, and leading anti-money laundering strategies. The firm offers a competitive remuneration package and a supportive working environment, making it an excellent opportunity for those looking to shape the risk and compliance culture within a leading investment management firm.

Benefits

Competitive remuneration

Supportive working environment

Collaborative team culture

Qualifications

• Proven experience in a senior risk and compliance role within investment management.
• In-depth knowledge of FCA regulations and risk management frameworks.

Responsibilities

• Develop and maintain the firm’s risk management framework.
• Oversee compliance function ensuring adherence to FCA regulations.
• Lead AML strategy and ensure robust systems are in place.

Skills

Risk Management

Compliance Oversight

Anti-Money Laundering (AML)

Stakeholder Management

Regulatory Engagement

Analytical Skills

Education

Relevant Professional Qualifications (e.g., ICA, CISI)

Job description

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Risk & Compliance Manager - (SMF4, SMF16, SMF17) – Investment Management, london

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Client:

Location:

london, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

4

Posted:

08.05.2025

Expiry Date:

22.06.2025

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Job Description:

Location: London

Salary: Competitive + Benefits

Employment Type: Full-time, Permanent

About role

We are a leading investment management firm, committed to delivering exceptional value and robust governance for our clients. As we continue to grow, we are seeking a highly skilled Risk & Compliance Manager to join our senior leadership team. This is a pivotal role, responsible for ensuring our firm’s ongoing compliance with regulatory requirements and the effective management of risk across the business.

The Role

As Risk & Compliance Manager, you will hold the following Senior Management Functions (SMFs) under the FCA’s Senior Managers & Certification Regime (SM&CR):

• SMF4 – Chief Risk Function: Overall responsibility for the firm’s risk controls and frameworks.
• SMF16 – Compliance Oversight: Oversight of the firm’s compliance with regulatory obligations, reporting to the governing body.
• SMF17 – Money Laundering Reporting Officer (MLRO): Oversight of anti-money laundering (AML) systems and controls, ensuring compliance with FCA rules

You will report directly to the Board and work closely with senior stakeholders, providing strategic leadership on all matters relating to risk, compliance, and regulatory change.

Key Responsibilities

• Develop, implement, and maintain the firm’s risk management framework, ensuring all risks are identified, assessed, monitored, and mitigated
• Oversee the compliance function, ensuring adherence to all relevant FCA regulations and internal policies
• Act as the firm’s MLRO, leading AML strategy, investigations, and reporting, and ensuring robust systems and controls are in place
• Provide regular risk and compliance reports to the Board and relevant committees, including MI and assurance on key controls
• Lead regulatory engagement, including FCA communications, audits, and regulatory reviews
• Monitor regulatory developments and operationalise regulatory change across the business.
• Manage and enhance the Compliance Assurance Programme, including control monitoring and testing
• Support the development and review of key governance documents, including offer documents, fund updates, and regulatory filings
• Deliver training and guidance to staff on risk, compliance, and AML matters.
• Foster a culture of compliance and risk awareness throughout the organisation

Candidate Profile

• Proven experience in a senior risk and compliance role within investment management or financial services.
• Approved to hold, or demonstrable eligibility for, SMF4, SMF16, and SMF17 under the FCA’s SM&CR
• In-depth knowledge of FCA regulations, risk management frameworks, and AML requirements.
• Strong leadership, communication, and stakeholder management skills
• Analytical mindset with the ability to interpret complex regulations and implement practical solutions
• Experience in reporting to Boards and senior committees
• Relevant professional qualifications (e.g., ICA, CISI, or equivalent).
• Experience with regulatory engagement and managing regulatory reviews.
• Background in investment management compliance and governance.

Why Join Us?

• Opportunity to shape the risk and compliance culture of a leading investment manager.
• Competitive remuneration and benefits.
• Supportive, collaborative, and dynamic working environment.

Please contact me if you wanted to speak about the role [emailprotected] or 0207 337 0045