Ref: JN -112019-3163
Our client, a key player in social investment in the UK is looking to recruit a Compliance Manager to support the business in meeting its ongoing regulatory and compliance obligations across their FCA-regulated and non FCA-regulated investment activities.
You will hold both CF10 and CF11 and will support the CEO, senior management team and the boards and ensure effective control and compliance with all regulatory aspects of the business.
This is a stand-alone role in a small organisation and a great opportunity for someone who will enjoy a role which encompasses the full range of compliance work from influencing and developing strategy to rolling up your sleeves to turn that strategy into practical outcomes. SMCR preparations are well in-hand, but you will have the opportunity to contribute to moving the business forward, including:
- Keeping senior management fully informed of all regulatory matters
- Keeping policies and procedures up to date.
- Providing guidance and advice on regulatory matters across the business, including the review and development of existing products and services.
- Preparing reports for the board demonstrating the effectiveness of regulatory compliance.
- Delivering agreed objectives in accordance with company and regulatory procedures.
- Establishing and maintaining a constructive and open dialogue with the FCA and other authorities and ensuring that any regulatory reports or enquiries are handled appropriately and promptly.
You are an experienced compliance professional who would relish the opportunity to use your skills within a worthwhile organisation founded by social entrepreneurs for social entrepreneurs. You possess:
- 5 to 10 years similar experience gained within investment management.
- Holder of CF10 and CF11
- Experience of dealing with regulators and other external bodies.
- A calm and pragmatic approach backed up by your in-depth knowledge.
Flexibility: 30 hours per week
Location: North London
Salary: £50,000 FTE
Recruiter contact: Jennifer Brooks