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Compliance Manager (Financial Services – CF10 / CF11)

  • Location

    London

  • Sector:

    Finance & Accounting

  • Job type:

    Full-time Flexible

  • Salary:

    £Competitive

  • Job ref:

    00328089

  • Published:

    10 days ago

  • Expiry date:

    2019-06-07

  • Startdate:

    2019-05-10

  • Client:

    EasyWeb Group

Compliance Manager (Financial Services – CF10 / CF11)

Big Issue Invest (BII) is the social investment arm of The Big Issue and a key player in social investment in UK. Set up in 2005, it was founded by social entrepreneurs for social entrepreneurs. Big Issue Invest Fund Management Ltd (BIIFM) is our FCA-regulated business.

Position: Compliance Manager
Location: Finsbury Park, London
Job type: Full Time, Permanent
Hours: Full-time / Flexible Hours
Salary: £Competitive
Benefits: In return, as well as a salary commensurate with the social impact investment sector, we offer 3 days paid leave in a rolling year to care for a sick child or grandchild, 3 days paid leave in a rolling year to care for a sick or elderly relative, an incremental holiday scheme, an enhanced contribution into our workplace pension, life cover, a healthcare cash plan and learning and development opportunities.

About the role:

We now have an exciting opportunity to be part of the growing social impact investment sector and are looking to recruit a stand-alone Compliance Manager to ensure we continue to meet our on-going regulatory and compliance obligations across our FCA-regulated and non-FCA regulated investment activities.

This will mean supporting the CEO and the boards of BIIFM and BII and ensuring effective control and compliance with all regulatory aspects of BIIFM’s business. The successful applicant will hold both CF10 and CF11.

Responsibilities:

- Ensure BIIFM and BII are fully compliant with the prevailing regulatory framework. This will include taking over our preparations for the SMCR.
- Ensure that your activities and outcomes deliver agreed objectives in accordance with the company’s and regulatory procedures.
- Maintain a constructive and open dialogue with the FCA and any other relevant authorities and ensure that all regulatory reports or enquiries are handled appropriately and promptly.
- Ensure that senior managers are kept fully informed of all regulatory matters and that any developments or changes are included within our compliance and regulatory framework.
- Oversee the review and development of existing products and services.
- Prepare reports for the boards demonstrating the effectiveness of the regulatory compliance framework.

About you:

You will need to have held CF10 and CF11 in a previous role.

Knowledge of the needs and priorities of the social investment market and / or the social sector is highly desirable and management experience would also be an advantage.

While this is a full-time role, we can offer flexibility of hours and some flexibility of place of work as standard. We would also consider condensed working hours (e.g. a 4-day working week) to the right candidate. We particularly welcome applicants from those who are under-represented in senior roles in our sector, such as women, people with disabilities and people from Black and Minority Ethnic communities.

In return, as well as a salary commensurate with the social impact investment sector, we offer 3 days paid leave in a rolling year to care for a sick child or grandchild, 3 days paid leave in a rolling year to care for a sick or elderly relative, an incremental holiday scheme, an enhanced contribution into our workplace pension, life cover, a healthcare cash plan and learning and development opportunities. There is no service qualification to submit a flexible working request and we have the technology to allow remote working for part of your working week, although there will be some meetings in our Finsbury Park office that you will need to attend. We are also open to flexibility of working hours.

Please note that we can only accept applications from those who already have the right to work in the UK.

You may have experience of the following: Compliance Manager, Compliance, Regulatory, Regulation, Financial Services, Policies, FCA, Compliance Oversight Function, Charity, NFP, Not For Profit, Social Investment, etc.