Wealth Management Executive Director Hiring
Executive Director Recruitment at Wealth Management Firms Executive Director appointments at wealth management firms sit at the intersection of several distinctive governance pressures. Wealth management is a sector where client relationships are deeply personal, regulatory obligations have intensified significantly under Consumer Duty, and the profile …
Hiring a Deputy CEO at an FCA-Regulated Firm
Hiring a Deputy CEO at a Regulated Firm: SMF3 vs SMF1 Succession Considerations The Deputy CEO role at an FCA-regulated firm sits at one of the most complex governance intersections in the SMCR framework. It is a role defined more by its succession purpose than …
CEO Succession at an FCA-Regulated Firm
CEO Succession at Regulated Firms: Timelines, FCA Engagement and Contingency Planning CEO succession at an FCA-regulated firm is one of the most demanding governance challenges a board will manage. It combines the complexity of a senior executive search with the regulatory obligations of the Senior …
Hiring a CEO Without Previous SMF Approval
First-Time SMF1: Hiring a CEO Who Has Never Held an SMF Role Before The assumption that a CEO appointment at an FCA-regulated firm requires a candidate who has previously held an SMF designation is understandable but wrong. The FCA does not require candidates for senior …
Senior Managers vs Certification Regime
Certification Regime vs Senior Managers Regime: Who Gets Approved, Who Gets Certified One of the most persistent sources of confusion among boards and HR functions at FCA-regulated firms is the distinction between the two central pillars of the Senior Managers and Certification Regime. The Senior …
Consumer Duty: Implications for Board Composition and Senior Hiring Decisions
Consumer Duty: Implications for Board Composition and Senior Hiring Decisions Consumer Duty is the most significant shift in the FCA’s regulatory philosophy in a generation. The move from rules-based compliance to an outcomes-focused standard — where firms must demonstrate that retail clients are consistently receiving …
Wealth Management Senior Recruitment: Consumer Duty’s Impact on the Board Brief
Wealth Management Senior Recruitment: Consumer Duty’s Impact on the Board Brief Consumer Duty has changed the hiring brief at wealth management firms in ways that many boards are still working through. The requirement to demonstrate good outcomes for retail clients — at every stage of …
Senior Board Appointments at Challenger Banks: SMCR, PRA Expectations and the Talent Pool
Senior Board Appointments at Challenger Banks: SMCR, PRA Expectations and the Talent Pool Senior appointments at challenger banks sit in one of the most demanding regulatory environments in UK financial services. The combination of FCA and PRA oversight — dual regulation — means that every …
Chief Operating Officer (SMF24) Appointments at FCA-Regulated Firms
Chief Operating Officer (SMF24) Appointments at FCA-Regulated Firms The Chief Operating Officer role at an FCA-regulated firm has been transformed by a decade of regulatory development. Where the COO was once primarily an internal efficiency function, the designation of the role as SMF24 — the …
Head of Internal Audit (SMF5) Recruitment at FCA-Authorised Firms
Head of Internal Audit (SMF5) Recruitment at FCA-Authorised Firms The Head of Internal Audit is one of the most structurally complex appointments a regulated firm can make. Under SMCR, where the role is a designated senior management function — SMF5 — the individual carries personal …
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