SMF Capital

Welcome to SMF Capital, specialist recruiters for senior management functions and compliance leadership. Today we are looking at appointing a Chief Compliance Officer or Head of Compliance in an FCA-regulated business. If your firm needs to recruit a CCO or Head of Compliance, our specialist service is here: https://www.smfcapital.co.uk/chief-compliance-officer-recruitment/ Understanding the role In most FCA-regulated firms, the Chief Compliance Officer or Head of Compliance holds SMF16 – Com

Welcome to SMF Capital. In this episode, we look at fractional Compliance Officers and the SMF16 Compliance Oversight function: why regulated firms use fractional appointments, what the FCA expects and how to recruit the right individual. For smaller financial services businesses, employing a full-time Compliance Officer may not be practical. The firm still needs experienced regulatory oversight, but perhaps only for one or two days a week. A fractional SMF16 can provide that senior expertise w

Welcome to another episode from SMF Capital. Today we're looking at something particularly practical for FCA-regulated firms: free compliance templates. It's one thing to understand what the FCA expects. It's another thing to actually create the documents and governance structures needed to demonstrate that your firm is meeting those expectations. SMF Capital has created a collection of free templates designed to give smaller regulated businesses a practical starting point. You can access the...

Today we're talking about something slightly different from our usual discussions about senior compliance recruitment. SMF Capital has created a growing library of free guides and practical resources for FCA-regulated firms, particularly smaller businesses that need to understand their regulatory responsibilities without immediately bringing in a large consultancy team. The resources are available completely free from the SMF Capital website. You can access the full collection here: SMF Capit...

Welcome to SMF Capital, the specialist recruitment business for Senior Management Functions and senior regulatory appointments across UK financial services. In this episode, we are looking at career opportunities for compliance officers, Heads of Compliance, Money Laundering Reporting Officers and financial crime professionals. We will explore the different types of roles available, what firms are looking for, how experienced compliance professionals can move into their first Senior Management

Welcome to another episode from SMF Capital. Today, we're looking at how insurance brokers can become directly authorised by the Financial Conduct Authority, the people they need in place, and how to prepare for the application process. Whether you're establishing a new brokerage or leaving a network after operating as an appointed representative, direct authorisation offers greater independence. But it also means taking responsibility for compliance, governance, financial resources and regul...