Compliance Recruitment Solutions
London, United Kingdom
£43K - £50K + great benefits
04 May 2022
18 May 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
  • Respond to requests for advice on compliance matters from staff
  • Keep abreast of UK compliance requirements relevant to firms' operations
  • Escalate issues to the Head of Legal and/or the Chief Financial Officer and assist in the resolution of issues identified
  • Work with external consultants to prepare and oversee the annual Compliance Monitoring Plan
  • Compile ad hoc and ongoing FCA reports (excluding financial related filings) and ensure that FCA Directory information is up to date
  • Review and update policies, manuals, and risk assessments for senior management to approve
  • Ensure that all employees are aware of their personal obligations under compliance policies and procedures and oversee the annual attestation and fitness & propriety certification processes
  • Maintain compliance registers e.g., breaches register, complaints register, insider lists, approved person register
  • Prepare Senior Management Function (SMF) applications
  • Manage firms' new online compliance portal in order to support the above activities in an efficient and effective way

You should have a broad knowledge of FCA compliance requirements for a UK regulated firm with proven experience in managing compliance issues from a generalist compliance function (any sector) with some exposure to SMCR (whether completing applications or helping design frameworks etc). You should also have an interest in working in the Charitable Sector.

Great opportunity to utilise your broad FCA Rulebook & SMCR knowledge from any sector and work for an organisation which is genuinely focussed on investing for the greater good, as well as gaining hands on experience in a real ESG focussed investment environment

NB the role is 50% WFH on a flexible basis which could be done of 4 or 5 d pw basis (pro rata to above salary if 4d).

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at (including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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