Permanent, Interim or Fractional: Which Compliance Hire Does Your Firm Actually Need?
Permanent, Interim or Fractional: Which Compliance Hire Does Your Firm Actually Need? One of the most consequential decisions in a compliance search happens before the search itself starts: deciding whether the firm needs a permanent compliance hire, an interim appointment, or a fractional engagement. Most …
How to Choose a Compliance Recruitment Agency That Understands the FCA
Choosing a Compliance Recruitment Agency That Understands the FCA Hiring a senior compliance professional into an FCA-regulated firm is a meaningfully different exercise from hiring most other senior roles. The candidate’s competence will be directly assessed by the regulator. The role almost always sits inside …
The Compliance Recruitment Agency Checklist: What Regulated Firms Should Be Asking
The Compliance Recruitment Agency Checklist: What Regulated Firms Should Be Asking Choosing the right compliance recruitment agency is one of those decisions that looks straightforward until it goes wrong. By the time a search has produced three rounds of unsuitable candidates, burned through ten weeks …
Why Your Compliance Hire Keeps Falling Through (And What to Do About It)
Why Your Compliance Hire Keeps Falling Through (And What to Do About It) If you have been trying to fill a compliance role for longer than you expected — and the search keeps stalling, candidates keep withdrawing, or offers keep getting turned down — you …
How long does FCA SMF approval actually take? A realistic timeline for regulated firm boards
The Gap Between the Statutory Position and Reality The FCA’s statutory position on SMF approval timelines is reasonably well known: the regulator has three months from receipt of a complete Form A application to reach a decision. Most boards treat this as the planning figure. …
How the FCA Form A approval process works: a practical guide for regulated firm boards
What Form A Is and Why It Matters Every individual appointed to a Senior Management Function at an FCA-regulated firm must receive FCA individual pre-approval before taking up their role. That approval is requested through Form A — the standard notification form submitted via the …
How SMCR is changing the senior appointment timetable for FCA-regulated firms
By Adrian Lawrence FCA, Founder, Exec Capital Boards at FCA-regulated firms approaching senior appointments often underestimate the timetable. The substantive search work — brief, market mapping, candidate engagement, assessment, offer — proceeds on a familiar calendar. The Form A submission, fitness and propriety assessment and …
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