Finance Earth are looking to recruit a Head of Risk and Compliance to work together with our growing environmental impact investment advisory and transaction business, as well as our AFIM fund management activities.
As the Head of Risk and Compliance you will focus on the design, implementation, and adherence to the FCA rules and guidance as well as other relevant legislation and regulation across all aspects of our operations. You will be responsible for and oversee the organisation’s comprehensive risk management program, assessing and identifying risks that could impede the reputation, safety, security, or financial success of the organisation.
We are looking for someone to join the team full time, with the option for flexible and hybrid/ remote working.
We are investors in our people, offering the opportunity for both technical and soft skills development, and unique experiences to grow both professionally and personally.
- Within 6 months taking over the compliance Oversight (SMF16) and Money Laundering Reporting Officer (SMF17) roles within the business
- Responsible for all FCA reporting requirements; and submissions being on time, complete and accurate
- Responsible for ensuring all FCA updates that impact the business are known and the firm's compliance framework is continually up to date
- Coordinating the monthly ‘Management FCA Forum’ meeting and tracking allocated management ‘Actions’
- Work with HR to ensure appropriate PD/regulatory training programmes in place to meet regulatory guidance and tracking of staff online compliance and CPD training
- Coordination of external compliance support (including assessing options for new support services as need is identified)
- Ownership of all compliance policies and ensuring the firm has all of the required policies and they are as up to date as needed
- Managing business GDPR, Information Security, and other such requirements
- Ensuring compliance with all UK legislation and other relevant regulations
- General compliance administration transitioning to managing a compliance and risk support resource over 12-24 months
- Keeping up to date on all compliance and regulatory changes and ensuring the firm has sufficient foresight and is taking action ahead of relevant material changes
- Responsible for assessing risks and regulatory implications for non UK jurisdictional mandates
- Review of client engagement contracts to assess for compliance management
- Being responsible for all Know Your Client (KYC) checks (and the processes needed to support this) on clients using external sanctions platform and other tools as relevant
- Ensuring all client files are up to date and 'compliant' including historic audit and file completion as required and
- General compliance administration
- Owning the firm's risk and compliance framework, responsible for identifying areas of risk within the firm and external risk areas; as well as identifying and recommending mitigation strategies to the Board and ultimately implementing mitigations
- Responsible for both corporate finance and AIFM related risk and regulatory functions, with initial priorities around the new £400m UK nature based solution investment strategy (with expected first close Q4 2022 / Q1 2023)
- Responsible for maintaining the firm's risk register, as well as risk registers for funds and subsidiaries as relevant
- Presenting the firm's risk register to the Board and inputting to the Board (inside and outside of meetings) on all relevant risk and compliance matters including regulation
- Responsible for pulling together monthly Exec and Quarterly Board risk and compliance updates
- Provide risk lens to Advisory projects by being included in the advisory group for projects, meeting project teams at beginning, middle, end of projects and providing feedback on project strategy and workstream, input into project materials as necessary
- Provide specific risk input on fund and fundraising materials ensuring that risk sections of documents are compliant and comprehensive
- Reviewing all public facing disclaimers, important notices and statements, and other such disclaimers in materials; and providing a review of materials and material distribution strategies to ensure compliant with the firm's regulatory envelope
- Providing general risk and compliance input to the firm's strategic direction and input in to the Executive team on all relevant matters
- To support exec with investor due diligence and fundraising processes
Skills and experience
You will have a minimum of seven or more years’ experience working within a FCA regulated business, dealing with compliance administration.
Specific skills, competencies and experience that we are looking for include:
- Strong knowledge of FCA compliance requirements for a UK regulated financial institution
- Experience in Compliance Administration within a FCA regulated business
- Experience in dealing with third party suppliers and contract management
- Attention to detail in drafting and reviewing reports, contracts and policies
- Strong IT skills, proficient in Microsoft Office
Personal attributes that we are looking for include:
- Enthusiastic, self-starter and strong team player
- A willingness to present ideas to peers and senior colleagues
- Excellent communication and relationship building capabilities
- Excellent judgement, discretion and utmost integrity
- Ability to operate in a dynamic working environment, handling multiple tasks and deadlines
- A highly committed individual looking to take ownership of projects and to create meaningful value for the long-term
- Energy, enthusiasm and be able to work well independently where required
Our people are our business; we work hard to ensure that they have fulfilling careers and a good work-life balance. We encourage training to make sure our staff are equipped to do their jobs to the best of their abilities and offer flexible working and generous holidays so that staff can both meet client expectations and personal goals.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Finance Earth can provide a superior experience for building and maintaining a professional career in finance - a place for people to learn, to achieve and grow whilst delivering work that is highly impactful and beneficial for our planet. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Opportunity to earn over £72,500
- Full time base salary of £65,000 per annum
- Up to 10% of salary discretionary annual bonus, plus discretionary Christmas bonus of up to £1,000
- 25 days holiday plus 2-3 days free at Christmas (plus English bank holidays)
- Potential for hybrid/ remote or flexible working
- Generous training budgets with learning and continuous development as a critical element of the way we work; we will support you with individual development.
How to Apply
If you think that you are the right person for this important role in our business, please apply by sending:
- A comprehensive CV
- A cover letter that includes as a minimum:
- A summary of the relevant experience you will be bringing to this role
- A statement on why you would like to work at Finance Earth
Applications that do not include a cover letter will be immediately discounted.
Finance Earth is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the disciplines in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.