Description

SMF3 - Executive Director

Boutique Asset manager - Canary Wharf

Location: Canary Wharf - 2 days per week in office

Salary: £90k - £110k

Regulatory Status: FCA-authorised Asset Manager

About the Role

We are seeking a highly experienced, senior financial services professional to join the Board as SMF3 - Executive Director (ED). This is a board-level role with personal accountability under the Senior Managers and Certification Regime (SMCR).

The SMF3 will play a central role in the strategic direction, governance, and regulatory oversight of the firm, ensuring that all business activities meet the highest standards of compliance, conduct, and operational excellence. This is a hands-on, high-profile position that interacts directly with the Board, FCA, investors, and key stakeholders.

Key Responsibilities

• Provide executive leadership and strategic direction for the firm, aligned with the Board's vision and objectives.
• Assume personal accountability under SMCR for the firm's operations and governance.
• Oversee risk management, internal controls, and regulatory compliance, ensuring adherence to FCA rules and guidance.
• Act as the primary liaison with the FCA for executive matters, including regulatory submissions and reporting.
• Drive business growth and strategic initiatives, ensuring that operational and regulatory frameworks scale effectively.
• Support other senior managers and function heads in delivering best-in-class governance, conduct, and operational standards.
• Ensure the firm maintains robust records, reporting, and audit readiness, including for regulatory inspections or thematic reviews.
• Provide independent challenge and oversight to business proposals, investment strategies, and operational initiatives.

Candidate Profile

Essential

• Proven executive-level experience within an FCA-regulated firm (asset management, wealth management, or related sector).
• Demonstrated understanding of SMCR responsibilities, including personal accountability as a senior manager.
• Strong regulatory knowledge, including FCA Handbook, conduct rules, and financial services legislation.
• Track record of board-level decision making, governance, and risk oversight.
• Excellent communication skills, with experience managing regulator relationships.
• Strategic, commercially aware, and able to balance business growth with regulatory and operational control.

Regulatory Note

The successful candidate will be required to:

• Obtain FCA approval as an SMF3 Executive Director
• Comply with ongoing SMCR conduct rules and certification regime
• Maintain fitness and propriety standards under FCA guidance