Organisation Charts

⁠

Chief Executive Officer (SMF1)

Responsible to the board of directors for the conduct of the whole of the business.

Chief Financial Officer (SMF2)

Responsible for managing the financial affairs of the firm.

Chief Risk Officer (SMF4)

Responsible for managing the firm’s overall risk controls.

Head of Internal Audit (SMF5)

Responsible for managing the internal audit function and reporting to the governing body on this.

Chair of Governing Body (SMF9)

Responsible for chairing and overseeing the performance of the governing body of the firm.

Chair of Risk Committee (SMF10)

Responsible for chairing and overseeing the risk management systems, policies and procedures of the firm.

Chair of Audit Committee (SMF11)

Responsible for the oversight of any audit systems within the firm, including any committees established via internal audit requirements for SMCR firms.

Chair of Remuneration Committee (SMF12)

Responsible for the oversight of the design and implementation of any remuneration policies within the firm (see remuneration policies below).

Chair of Nomination Committee (SMF13)

Responsible for the oversight of the committee for the implementation of any nomination policies (knowledge, skills, diversity and experience) and the approval of nominations to the management body.

Senior Independent Director (SMF14)

Particular responsibility for the assessment of the Chair of the Governing Body (SMF9).

Compliance Oversight (SMF16)

Monitors and reports on measures and procedures relating to the compliance obligations and advises all relevant persons on compliance for the regulatory obligations of the firm. Specifically required to be in-country for the Qatari banking licence.

Money Laundering Reporting Officer (SMF17)

Required at implementation phase, and must be based in the UK for FCA approval and also explicitly required in-country for Qatari banking license. Focal person for all information and activity relating to anti-money laundering within the firm and the reporting thereof to the regulator or interested parties.

Chief Operating Officer (SMF24)

The most senior person responsible for managing the internal operations (including HR) systems and technology of the firm.

There are no rows in this table

⁠

Want to print your doc?
This is not the way.

Try clicking the ⋯ next to your doc name or using a keyboard shortcut (

CtrlP

) instead.