The Judgement Calls That Make a Good MLRO
The Judgement Calls That Make a Good MLRO On paper, the Money Laundering Reporting Officer's job is well defined. The MLRO oversees the firm's…
Read article: The Judgement Calls That Make a Good MLROBlog
News, analysis and practical guidance for FCA-regulated firms, their senior managers and the people who hire them.
Building a Year’s Compliance Monitoring Plan: A Worked Example
Building a Year's Compliance Monitoring Plan: A Worked Example Most guidance on compliance monitoring explains the principles: be risk-based, test outcomes not just paperwork,…
Read article: Building a Year’s Compliance Monitoring Plan: A Worked Example
Building the Financial Crime Team Around Your MLRO
Building the Financial Crime Team Around Your MLRO Every regulated firm within the scope of the Money Laundering Regulations needs an MLRO. Far fewer…
Read article: Building the Financial Crime Team Around Your MLRO
Compliance Officer, MLRO or One Person for Both? How Regulated Firms Structure SMF16 and SMF17
Compliance Officer, MLRO or One Person for Both? How Regulated Firms Structure SMF16 and SMF17 Almost every FCA-regulated firm within the Senior Managers and…
Read article: Compliance Officer, MLRO or One Person for Both? How Regulated Firms Structure SMF16 and SMF17
Senior manager hiring is a growth problem, not a one-off
Most regulated firms think about senior manager functions twice: once when they apply for authorisation, and again when someone resigns. In between, the question…
Read article: Senior manager hiring is a growth problem, not a one-off
Why more regulated firms are going fractional
For a growing number of smaller FCA-regulated firms, the question is no longer whether they need senior compliance leadership, but how much of it…
Read article: Why more regulated firms are going fractionalNeed a senior manager the FCA will approve?
Tell SMF Capital about the role and we will come back to you with how we would run the search, realistic timings and what the market is paying.