SALARY: £67K-£76K per annum (Band 7)

HOURS: Full time/Part time considered. We operate a flexible, hybrid working style, with a 9-day working fortnight. We also highly value the time spent together with colleagues and encourage at least 2 days per week in the office.

WORKING MODEL: Hybrid with office base in Launceston (Cornwall) or Manchester. There is an option of London or Bristol offices for the right candidate

ANNUAL LEAVE: 25 Days (plus bank holiday)

COMPANY PENSION: Salary Sacrifice available and the option for contributions to be paid into private pension

RESPONSIBLE TO: Operations Director

CONTRACT: Permanent

HERES WHY WE NEED YOU

PURPOSE

Resonance is actively growing, so youll need to enjoy working in a fast-paced work environment. To deliver the regulated aspects of this work, Resonance has an FCA authorised subsidiary, Resonance Impact Investment Limited (RIIL). We also have specialist team members and robust processes covering financial control, regulatory compliance, communications and people practices.

RIIL operated as a Small Authorised UK AIFM (Sub-Threshold) from its authorisation in 2013. It has successfully grown its funds under management to the scale where it had to apply to vary its permission to become a Full-Scope Alternative Investment Fund Manager. It is expected that this application will be approved by the end of 2026.

The Head of Compliance & Risk is a senior role within Resonance, reflecting our significant growth and potential, which brings together oversight and running of both regulated and non-regulated processes designed to manage risk in the organisation. If you have experience in fund and investment management compliance and risk management, and the desire to use this for social impact, we would like to hear from you.

Find out more about this opportunity and what it's like to work at Resonance in our JobInformationPack.

RESPONSIBILITIES The Head of Compliance & Risks primary role is to bring together oversight and running of both regulated and non-regulated processes designed to manage risk in the organisation. This will cover Resonances compliance as a FCA authorised firm but also extend to processes across the organisation which help us to manage risk.

CORE RESPONSIBILITIES

- To act as Compliance Officer for Resonance Impact Investment Limited (RIIL), ensuring ongoing compliance with all relevant regulation as a Full-Scope Alternative Investment Fund Manager.
- To act as Head of Risk for Resonance Limited and RIIL.

- To hold the FCA Senior Manager Functions SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting Officer).
- To be the contact point for the FCA ensuring a good relationship is maintained.
- To ensure prudential requirements are met by ensuring that capital and liquidity requirements are understood and that capital and liquidity are monitored and forecast.

As part of this, to maintain and update the ICARA process.

- To ensure accurate preparation and timely submission of FCA periodic reporting, in conjunction with the Finance team (including the AIF001 and AIF002 AIFMD annex IV reports).
- To ensure responses to FCA requests, in conjunction with relevant individuals.

- To ensure and monitor internal processes for compliance and risk management, in conjunction with relevant Resonance teams.
- To ensure accurate record keeping for all relevant processes, in conjunction with relevant teams, and utilising relevant IT systems.




- To review and approve the firms financial promotions and other documents from a compliance and risk perspective.

This includes investor slide-decks and presentations, fund information memoranda, annual social impact reports, quarterly fund investor reporting, newsletters and the website. This also involves training and enabling others to write compliant financial promotions.

- To support Investor Relations in respect of compliance, AML and risk areas of fund due diligence questionnaires from potential investors and their consultants.

- To oversee investor and borrower take-on procedures, in conjunction with relevant teams. Resonance funds have a relatively low number of relatively high value institutional investors.
- To provide regular reporting to the Resonance and RIIL Boards and the Risk, Audit &

• Governance sub-group on regulatory and risk issues, including a Group Risk Register.

- To ensure compliance with the following FCA regimes: Systems & • Controls, Prudential, Senior Managers &

Certification Regime, Fitness &

- Propriety, AIFM requirements (FUND/ALTS), Categorisation, Financial Promotions, Change in Control, ESG (in conjunction with ESG team) and Complaints.

- To liaise with external consultants, lawyers, auditors etc in respect of Resonances compliance, AML and risk issues, including RIILs annual financial audit (led by our Finance Team) and an internal controls assurance audit.
- To maintain and update the Compliance Manual, and provide specific training to staff on regulatory and risk issues as necessary.

- To maintain the suite of compliance, AML and risk policies and processes.
- To ensure completion of the Compliance Monitoring Plan and respond to and report findings as appropriate.
- To provide or ensure training for staff on compliance, AML and risk issues.

- To provide strategic input to the CEO and CIO on regulatory and risk issues relevant to Resonances further business development.
- To manage the FCA fee data and invoicing process, ensuring correct fee pots and metrics, in conjunction with the Finance team.
- To review contracts which Resonance enters into from a compliance and risk perspective, in conjunction with the relevant teams.

- To manage and develop the Assistant Compliance & • Risk Manager.

- N.B. property compliance is handled by the Property Portfolio Management team.

SECONDARY RESPONSIBILITIES

- Stakeholder management - participate in relevant meetings and compliance networking in the sector.

- Building understanding of how social impact investment interacts with mainstream financial regulation.
- General participation in Leadership team discussions.
- Arrange renewal of Professional Indemnity Insurance and fund insurance.

WHAT YOULL BRING KEY STRENGTHS

- A solutions finder; not giving up at the first barrier but able to think creatively to identify commercial approaches to maintaining robust compliance and risk processes.
- A team player; working with people in and outside of the organisation to get the job done.

- Resilient; capable of maintaining motivation and focus despite setbacks, and the challenges of working in a small organisation.




- Strategic with attention to detail; capable of seeing and communicating the big picture and translating that into specific actions.
- Strong on process design, implementation and management; able to create processes which recognise the need for flexibility and personal responsibility, but which are also robust and self-correcting.

- Financially literate but socially motivated; not in it for themselves but still highly competent.
- Self-starter but capable of bringing people along with them.
- Empathetic in seeing the other side of the story and yet also holding people to account.

The Head of Compliance & Risk plays an significant and senior role in the development of the companys business and delivery of its mission. The ideal candidate will therefore have relevant experience to be able to demonstrate the following skills and experience. ESSENTIAL SKILLS & EXPERIENCE

- Detailed knowledge and understanding of the FCA, and the regulatory environment for fund management of alternative investment funds (ideally this would be in areas relevant to our activities of property funds investing in UK residential property and other funds investing in commercial loans / other financing for UK social enterprises, however it is recognised that someone with relevant experience in other fund areas could have necessary transferable skills).
- Previous responsibility for FCA compliance processes.
- Ability to demonstrate successful implementation of compliance and risk processes in a commercial environment.
- Ability to communicate complex issues at a senior level in an organisation.
- Excellent verbal and written communication and presentation skills.
- Good interpersonal skills; able to build effective relationships with different teams and individuals across the business.
- Able to prioritise work towards clear goals and performance targets.
- Able to work independently and demonstrate initiative and perseverance in seeing tasks or projects through to conclusion.
- Thorough and detailed approach to organising work and maintaining accurate records.
- Highly professional and ethical approach in representing the company and marketing its products.
- Willing to travel within the UK as required, and work with colleagues in multiple locations, both in person and remotely.
- Enthusiasm to work in an entrepreneurial and innovative environment.
- Desire to help address social issues through impact investment.
- Fully subscribes to Resonances vision, mission and values.

DESIRABLE SKILLS & EXPERIENCE

- Experience in social investment.
- Knowledge or experience of relevant legal matters.
- Other relevant professional qualification.

WHAT NEXT We encourage you to review the job pack to learn more about the role and what we're looking for. If you feel your skills and experience align with the opportunity, we would be delighted to hear from you. Please click Apply for this job to submit your CV and cover letter.

The anticipated closing date for applications is midnight on 15 November 2026. Please note that this date is subject to change, and we reserve the right to close the vacancy early if we receive sufficient suitable applications.

Resonance is committed to promoting equality, diversity and inclusion and welcomes applications from all. We aim to provide a fair and inclusive recruitment process. If you require any reasonable adjustments during the application or interview process, please contact the People team: [email protected]

📌 Head of Compliance & Risk (Themiri)
🏢 Resonance
📍 Themiri