Lessons in compliance leadership - a closer look at smf17

The second webinar in our series looking at senior management functions within the asset, investment and fund management industry, this time focusing on SMF17s, the firm’s Money Laundering Reporting Officer (MLRO).

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Lessons in compliance leadership - a closer look at SMF17

Following our successful session on SMF16, this webinar explores the distinct responsibilities and expectations of the SMF17 role. While SMF16s carry a broad responsibility for overall compliance oversight, SMF17s are far more specific in their role, carrying personal accountability for the effectiveness of a firm’s anti-money laundering (AML) systems and controls and are often additionally responsible for combating the firm’s exposure to financial crime. The regulatory responsibility for SMF17s is seemingly coming into focus as financial crime risks evolve and the FCA sharpens its focus on personal accountability.

 

Our expert panel will explore:
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How to meet and evidence the FCA’s expectations as SMF17
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Managing the operational and personal risks of the role
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Building an effective AML framework with limited resources
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Avoiding common missteps and managing internal challenges
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What lies ahead: key themes in financial crime compliance
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About fscom

At fscom - we are Compliance Maturity Specialists.

We help financial services firms measure, master and maximise their compliance framework. We benchmark where they are today against both the regulatory requirements and their industry peers and most importantly, where they want to go next and how to get there.

 
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