When the Managing Director Is Also the Compliance Officer In many small regulated firms, the managing director wears every hat: running the business, winning clients, managing…
Read moreHiring a Crypto MLRO: Travel Rule and Blockchain Analytics Experience Cryptoasset firms face some of the most demanding financial crime expectations in UK financial services, and…
Read moreSizing the Financial Crime Team at a Payments or E-Money Firm Payments and e-money firms face some of the heaviest financial crime workloads in UK financial…
Read moreHiring a Sanctions Lead: What the Role Needs Since 2022 Before 2022, sanctions compliance at many UK regulated firms was one task among many for the…
Read moreHead of Financial Crime or MLRO: Same Job or Two? As regulated firms grow, a question comes up in almost every financial crime restructure: is the…
Read moreCompliance Officer and MLRO for Brokers and Small Advice Firms Small brokers and financial advice firms make up a large share of the firms that need…
Read moreWhat a Combined Compliance Officer and MLRO Costs: Salary vs Fractional Day Rate For smaller FCA-regulated firms, one of the main reasons to combine compliance oversight…
Read moreInterviewing a Combined Compliance Officer and MLRO: Testing Both Sides Hiring one person to hold both compliance oversight (SMF16) and money laundering reporting (SMF17) is common…
Read moreWhen to Split a Combined SMF16 and SMF17 Role: The Warning Signs For many smaller FCA-regulated firms, one experienced person holding both compliance oversight (SMF16) and…
Read moreAdding an Executive to the Board of an FCA-Regulated Firm: A Checklist Adding an executive to the board of an unregulated company is a board resolution…
Read moreHow Many Days a Week Does a Fractional MLRO or Compliance Officer Need? Once a firm decides that a fractional MLRO or compliance officer is the…
Read moreMLRO Interview Questions: How to Test a Candidate’s Financial Crime Judgement Most MLRO candidates can describe the Money Laundering Regulations. Far fewer can make a sound…
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