SMCR Manager

About Attivo

Attivo are Lifestyle Financial Planners.

We’re a privately owned company. We prefer it that way. It means we’re free to do what we feel is best for our clients and our people. Our work is all about our clients. We pride ourselves on being completely transparent, open and honest – an approach that builds trust with our clients and inspires their financial confidence.

Our experienced, highly qualified financial specialists and expert support teams are committed to delivering more for all our clients. Our independent status and unique approach to understanding our clients, their preferences and their motivation, sets us apart. We will build and provide ongoing support for a bespoke financial plan aimed at fulfilling our clients' lifestyle needs. Whether you’re a private client or a business accessing our corporate services, you can rely on a clear, consistent service from your Financial Planner and from our experienced teams.

About the Role

As the SMCR Manager, you will lead the firm's SMCR framework, ensuring compliance with FCA requirements and promoting a culture of accountability and good conduct across the business. Working closely with Senior Managers and key stakeholders, you will maintain SMCR governance documentation, coordinate Fitness & Propriety assessments, manage Conduct Rules activity and support regulatory applications. You will also deliver training, provide regulatory guidance and produce management information to support effective governance and oversight

This role is suitable for candidates who can work out of our Cheltenham office, on a hybrid basis.

About You

You are an experienced financial services professional with a strong understanding of governance, regulation and accountability. Confident working with senior stakeholders, you can provide practical guidance, deliver training and help embed a culture of good conduct across the business. You are highly organised, analytical and detail-oriented, with the ability to manage multiple priorities while maintaining high standards of regulatory compliance.

Key Responsibilities

• Lead the ongoing management and development of the firm's SMCR framework.
• Maintain Senior Managers' Statements of Responsibilities and the Responsibilities Map.
• Manage annual Fitness & Propriety assessments and attestations for Senior Managers.
  
• Support Senior Managers in evidencing accountability and reasonable steps under SMCR and Consumer Duty.
• Coordinate FCA applications, approvals and permissions relating to Senior Managers, Certified Individuals and Non-Executive Directors.
• Deliver SMCR and Conduct Rules training across the business.
• Manage the Conduct Rules breach framework, including investigations, escalation and regulatory reporting.
• Conduct reviews of Training & Competency activity to ensure compliance and accuracy.
• Produce SMCR management information, committee reports and thematic analysis.
• Support governance, regulatory change and wider risk management initiatives.
• Build effective relationships with stakeholders across the Group to promote a culture of accountability and good conduct.
• Undertake ad-hoc project work in line with business requirements and management direction.

Essential Skills and Experience

• Minimum Level 4 qualification in Regulated Financial Planning.
• Experience within financial services, ideally in risk, compliance, supervision, training & competency or financial planning.
• Strong understanding of the Senior Managers & Certification Regime (SMCR).
• Excellent organisational and time management skills.
• Strong stakeholder management and communication skills.
• Ability to interpret and apply regulatory requirements in a practical manner.
• Strong analytical, critical thinking and problem-solving skills.
• Experience delivering training and coaching to a range of audiences.
• Sound regulatory judgement and attention to detail.
• Professional, ethical and able to manage sensitive information with discretion.

Desirable Skills and Experience

• Level 3 Training Qualification and/or supervisory qualification (e.g. AF6 or J07).
• Experience dealing directly with the FCA.
• Experience within an IFA, wealth management or financial planning business.
• Experience supporting acquisitions, integrations or organisational change.
• Experience producing governance reporting and management information for senior stakeholders.
• Knowledge of Consumer Duty and wider FCA governance requirements.

Salary and benefits

£45,000 - £65,000 depending on qualification and experience.

Attivo also offers

• Non-contributory Pension Scheme (8%)
• Private Medical Insurance
• Cashplan
• Income Protection
• Critical Illness
• Death in Service
• Parking allowance
• Generous holiday allowance, rising with length of service
• Work from home and flexible working available
• Excellent culture, promoting employee wellbeing and engagement.

Recruitment Policy
Attivo is committed to being an Equal Opportunities employer. If you require reasonable adjustments at any stage of the recruitment process, please let us know and we will endeavour to make the process as accessible and as fair as possible.

Please be aware that any offer of employment will be subject to satisfactory completion of pre-employment vetting as outlined by the Financial Conduct Authority (FCA). This may include but not limited to adverse financial history, criminal records, UK directorship and disqualifications check.

Attivo do not use recruitment agencies, and we respectfully ask that agencies do not contact us regarding posts advertised on this site.

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