Compliance and Risk Manager

About Finance Earth

Finance Earth is a mission-driven investment advisor and fund manager, working in partnership with world leading environmental organisations, such as RSPB, WWF and the National Trust, to protect and restore nature utilising market-based mechanisms, implementing bespoke financial tools and creating high impact investments.

We are a pioneering employee-owned social enterprise and are now the UK’s leading environmental impact investment advisor and fund manager, with a rapidly growing international mandate, providing strategic consultancy and corporate finance advice to many of the most impactful environmental organisations in the UK and across the globe. We manage or co-manage £450m of investment funds with ambitions to have over £1 billion under management in the next 5 years.

We work across a wide variety of the conservation, natural and built asset sectors on projects specifically structured to deliver significant impact for the environment, local communities whilst delivering fair returns for investors. Our team of experienced professionals all excel in their given fields and innovate to meet changing trends in government policy, sources of finance and market opportunities.

Examples of our work can be found on our website: Finance.Earth

The Role

Finance Earth are looking to recruit a Compliance and Risk Manager to help support our growing environmental impact investment advisory and transaction business, as well as our AFIM fund management activities.

As the Compliance and Risk Manager you will focus on supporting 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 organisations 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 for up to 3 days a week (FTE), 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.

Key Responsibilities

Compliance Administration

·      Assisting the Executive and the MLRO in developing and maintaining a compliance and risk framework to support the growing business

·      Monitoring and submitting all FCA reporting requirements

·      Coordinating the monthly ‘Management FCA Forum’ meeting and tracking allocated management ‘Actions’

·      Supporting the MLRO in managing policy adherence across the business

·      Managing business GDPR, Information Security, and other such requirements

·      Administration of Compliance Policy Updates

·      Management of the company’s Risk Register and any Risk Registers for individual funds and subsidiary companies as relevant

·      Ensuring compliance with all UK legislation and other relevant regulations

·      Review of client engagement contracts to assess for compliance management

·      Maintaining oversight of FCA updates that impact the business

·      Coordination of external compliance support (including assessing options for new support services as need is identified)

·      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

·      Tracking of staff online compliance and CPD training

·      General compliance administration

Skills and experience

You will have a minimum of three 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

The Rewards

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 £50,000 pro rata

·      Full time base salary of £35,000 - £45,000 per annum (pro rata) depending on experience

·      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 (for example 3 days FTE spread over 5 short working days)

·      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:

o  A summary of the relevant experience you will be bringing to this role

o  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.