Compliance Officer; SMF16 & SMF- FCA approved

Company Description

Roots Funding is a private financial services company that connects private capital and accredited investors with institutional-grade private equity, private credit, scale-up, and real asset opportunities across Canada and selected global markets. All offerings are structured under applicable securities exemptions and are available exclusively to qualified investors.

The company is focused on bringing transparency, efficiency, and liquidity to private markets through its PMX platform. Roots Funding also provides value-added services, including M&A introductions, marketing, and consulting, to support long-term, sustainable growth for portfolio companies and economies. An AI business center further supports these companies in scaling their revenue and building potential global leaders.

Position: Compliance Officer

Type: Contract (with the potential to transition to a full-time, hybrid role)

Location: United Kingdom (Hybrid / Work from Home flexibility)

Compensation: £25,000 to £50,000 annually (dependent on experience and hours)

Hours: Part-time initially, with a view to full-time in the near future

We are seeking a Compliance Officer who meets the criteria to hold the SMF3 (Executive Director), SMF
16 (Compliance Oversight), and SMF
17 (Money Laundering Reporting Officer, or MLRO) controlled functions with the Financial Conduct Authority (FCA).

In this role, you will oversee day-to-day compliance activities, ensure strict adherence to relevant financial regulations and internal policies, and manage regulatory reporting. You will review and approve marketing materials, financial promotions, client communications, and product documentation to guarantee alignment with applicable rules. Additionally, you will conduct periodic risk assessments, compliance testing, and internal audits, recommending corrective actions where necessary. You will also provide guidance and training to internal teams, collaborate with legal and operations on new products or jurisdictions, and spearhead responses to regulatory inquiries or examinations.

Regulatory Expertise: Minimum of 3 years of regulatory compliance experience within financial services, ideally with direct exposure to private markets, investment management, or private equity/credit. Must be capable of qualifying for FCA SMF
16 and SMF
17 functions.

Analytical

Skills:

Demonstrated ability to interpret complex regulations, assess operational risk, and translate regulatory requirements into practical internal controls and procedures.

Communication: Exceptional written and verbal communication skills, with a proven track record of writing clear policies and guiding both internal teams and external stakeholders.

Financial Acumen: Solid understanding of finance, investment products, and market structures relevant to private equity, private credit, and real assets.

Regulatory Knowledge: Deep understanding of the UK regulatory framework (FCA Handbook); familiarity with global financial regulations is highly preferred. Professional compliance certifications (e.g., ICA, CISI) are a strong asset.

Professionalism & Autonomy: Proven experience working independently in a compliance or risk role, exercising sound judgment, and maintaining the highest ethical standards.

Education: Bachelor’s degree in law, finance, business, or a related field (or equivalent professional experience). Experience with in an FCA-regulated firm is strongly preferred.

Culture Fit: Comfortable working in a dynamic, fast-paced, growth-oriented environment and collaborating effectively across remote and in-office teams.

Note:

Further details regarding the scope of the role and equity/progression opportunities will be discussed during the interview stage.