Why Compliance Officers and MLROs Are So Hard to Hire Ask any recruiter working in UK financial services which senior roles are hardest to fill, […]
Category: FCA
The Key Person Risk Most Small Firms Ignore
One resignation, two functions, no plan Ask the founder of a small regulated business what would happen if their best salesperson left tomorrow, and you […]
The Five Documents at the Heart of the Senior Managers Regime, and How to Get Them Right
The Five Documents at the Heart of the Senior Managers Regime, and How to Get Them Right When the Senior Managers and Certification Regime was […]
Five Regulated Firms, Five Different Finance Jobs
Five Regulated Firms, Five Completely Different Finance Jobs An insurance broker, a MiFID investment firm, an asset manager, an authorised payments institution and a cryptoasset […]
The FCA Governance Guides Every Regulated Firm Board Should Have Read by Now
The regulatory environment for FCA-regulated firm boards has changed substantially in the three years since Consumer Duty came into force, SMCR reached full maturity, and […]
FCA Compliance for Investment Firms, Wealth Managers and Payment Institutions in 2026
FCA Compliance for Investment Firms, Wealth Managers and Payment Institutions in 2026 By Adrian Lawrence FCA, Founder, FD Capital Recruitment Ltd — ICAEW Registered Practice […]