FCA - SMF Capital

FCA

The Annual MLRO Report: What the Board Should Expect

The Annual MLRO Report: What the Board Should Expect Once a year, the MLRO puts their assessment of the firm’s financial crime controls in front of…

FCA

Hiring a Compliance Officer: The Experience That Matters for Your Type of Firm

Hiring a Compliance Officer: The Experience That Matters for Your Type of Firm Every FCA-regulated firm needs a compliance officer, but the job is not the…

FCA

The Compliance Monitoring Plan: What the Board Should Expect From Its SMF16

The Compliance Monitoring Plan: What the Board Should Expect From Its SMF16 The compliance monitoring plan is where a compliance function shows whether it is actually…

FCA

Fractional SMF Agreements: What the Contract Should Cover

Fractional SMF Agreements: What the Contract Should Cover More and more smaller regulated firms appoint a fractional Senior Manager: an approved compliance officer, MLRO or CFO…

FCA

Accepting an SMF Role: Due Diligence Before You Say Yes

Accepting an SMF Role: Due Diligence Before You Say Yes Firms spend weeks checking Senior Manager candidates. Candidates often spend far less time checking the firm.…

FCA

Senior Manager Handovers: What a Good Handover Pack Contains

Senior Manager Handovers: What a Good Handover Pack Contains When a Senior Manager leaves and a successor takes over, the quality of the handover shapes everything…

FCA

Preparing for an FCA or PRA Senior Manager Approval Interview

Preparing for an FCA or PRA Senior Manager Approval Interview For many Senior Manager appointments, the Form A is not the end of the process. The…

FCA

When an SMF Application Is Refused or Withdrawn: What Happens Next

When an SMF Application Is Refused or Withdrawn: What Happens Next Most Senior Manager applications are approved. A minority run into trouble: the regulator raises concerns,…

FCA

Writing an SMF Job Description That Works

Writing an SMF Job Description That Works A job description for a Senior Manager role does more work than most. It attracts or deters candidates, it…

FCA

Can a Senior Manager Work Remotely or From Overseas?

Can a Senior Manager Work Remotely or From Overseas? Remote and hybrid working is now normal across financial services, and candidates for Senior Manager roles increasingly…

FCA

Hiring Senior Managers From the FCA, the Big Four or Industry: The Trade-offs

Hiring Senior Managers From the FCA, the Big Four or Industry: The Trade-offs Candidates for Senior Manager roles in compliance, risk and financial crime tend to…

FCA

Internal Promotion or External Hire? Filling a Senior Manager Role

Internal Promotion or External Hire? Filling a Senior Manager Role When a Senior Manager leaves, the first question most boards ask is whether someone inside the…