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About the Role

The Head of Senior Managers Regime Office (SMRO) and UK Regulatory Liaison Manager leads State Street's framework for adherence to the UK Senior Managers and Certification Regime (SMCR). This role provides strategic oversight of SMCR governance, regulatory accountability, and implementation requirements across UK regulated entities. It partners closely with senior stakeholders, Legal, HR, and Compliance to ensure effective operation of the regime, while serving as a key member of the UK Regulatory Liaison Office, supporting regulatory relationships, supervisory interactions, and delivering regulatory commitments.

Responsibilities

Provide leadership and strategic oversight of the SMCR framework across seven UK-regulated entities.
Develop and maintain partnerships as a trusted and knowledgeable advisor with those covered under the regime.
Lead on SMF applications and notifications, and ongoing guidance and advice in respect of the SMCR.
Provide guidance and appropriate support to SMFs in the application of the SMCR, including the demonstration of reasonable steps.
Facilitate the handover process for outgoing/incoming SMFs.
Oversee the outsourced service supporting administration of the Certification Regime.
Coordinate the annual Fitness and Propriety assessment cycle.
Provide timely, authoritative advice to the business, HR and Global Security on Certification Regime requirements.
Maintain records of key SMRO activities.
Provide general advice and support on SMCR as required across State Street.
Provide ongoing training to SMFs, and Certified Persons.
Own the content and delivery of SMCR induction (onboarding) training.
Act as lead coordinator for the quarterly SMF Forum.
Monitor regulatory developments relating to the SMCR and coordinate State Street’s response to any relevant consultation papers.
Represent State Street as its SMCR subject-matter expert at industry forums and round-table discussions.
Serve as a principal liaison with the FCA and PRA on behalf of executive management.
Manage regulatory stakeholder engagement and communications.
Attend regulatory meetings as required.
Assist in the coordination and preparation for regulatory examinations and internal point of escalation across UK business lines.
Assist in the preparation of briefing notes for forthcoming regulatory Continuous Assessment Meetings.
Participate in the Monthly Conduct Meetings with HR to discuss new and on-going disciplinary cases.
Contribute as a senior member of a high-performing, flexible team, fostering a collaborative and inclusive working environment.
Support and encourage the culture of ‘Risk Excellence’ across the business.
Ensure that the highest level of the Code of Conduct is displayed in your behavior.
Display a culture of individual ownership of tasks to embed a clear individual sense of accountability in performing the role.
Adhere to limits of delegation and escalation procedures required by your manager.

Requirements

Experience leading regulatory, compliance, governance, or SMCR-related teams within a financial services environment.
Understanding of the best market practice for SMCR and the regulatory expectations of the Financial Conduct Authority and the Prudential Regulation Authority.
Exceptional relationship management skills with senior stakeholders across Compliance, Legal, HR, Company Secretariat, and business lines.
Strong communication and presentation skills, including delivery of training and Board-level reporting.
Supportive and co-operative team member.
Ability to work under pressure, to multi-task and to work flexibly to meet the needs of the department.
Demonstrate inquisitive mind-set to continue to develop best practices.

Skills

SMCR governance
Regulatory accountability
SMF applications and notifications
Fitness and Propriety assessment
SMCR induction training
SMF Forum coordination
FCA and PRA liaison
Regulatory stakeholder engagement
Regulatory examinations coordination
Briefing note preparation
Conduct Meetings participation
Risk Excellence culture
Code of Conduct adherence
Delegation and escalation procedures

Location

Work Type

Full-time

Experience Level

Senior

Education Level

Degree qualified or graduate calibre

Benefits

Inclusive development opportunities
Flexible work-life support
Paid volunteer days
Vibrant employee networks

About the Company

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability.
We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.
We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential.
As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most.
Join us in shaping the future.

Equal Opportunity

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.