Senior Compliance Manager (Investments)
London
Compliance – Compliance /
Full Time /
Hybrid
The Risk & Compliance team plays a key role in protecting our customers and Moneybox, and works closely with the rest of the business. The team is made up of four sub-teams: Compliance; Financial Crime; Data Protection; and Risk.
This Senior Compliance Manager (Investments) role will work in the Compliance Team and be a subject matter expert in investments and funds. You will be responsible for advising on and overseeing Moneybox’s investing products, as well as broader Compliance duties.
What You’ll Do
- Working closely with the rest of the Risk & Compliance team and the business, you will help Moneybox build a best in class compliance program. You will be involved in, but not limited to, these duties:
- Develop and deliver an investment oversight framework proportionate to Moneybox’s business and responsibilities.
- Provide subject matter expert regulatory advice to the business to help build great investing products that help our customers achieve their life goals
- Provide second line oversight of our investment products and services
- Manage relationships across the business and with third parties (e.g. asset managers)
- Carry out regulatory projects to deliver change
- Prepare and maintain policies and procedures
- Advise on higher risk or complex financial promotions and customer complaints to make sure we deliver fair outcomes
- Promote awareness and provide training when necessary on regulatory requirements and expectations
- Contribute to broader work carried out by the team to continually enhance controls
- Keep up to date with regulatory developments and initiatives impacting retail investment firms
Experience and Skills
- Detailed knowledge and the commercial application of UK regulatory requirements for investment products, particularly funds, and an understanding of MiFID and CASS rules
- Extensive experience overseeing retail funds, monitoring and conducting periodic reviews to ensure they are working as planned
- Significant experience providing advice to a business offering investing products to retail customers
- Ideally with experience in setting up fund governance and oversight arrangements
- Great communication and listening skills
- Ability to work unsupervised with minimal guidance
Who you are
- Able work unsupervised, able to adapt quickly and manage conflicting priorities.
- Has a strong bias for action and a questioning mind.
- A driven, committed person who’s looking to build their career at an exciting, fast-growing company that’s trying to make a positive mark on the world.
- Takes a methodical, analytical approach to make good judgements.
- Unafraid to take on new challenges, developing deep knowledge in new areas.
- Naturally personable, a great communicator who has a passion for their work and the people they work with.
- Knows how to have fun whilst maintaining a professional outlook.
What’s in it for you?
- Opportunity to join a fast-growing, award-winning and super ambitious startup
- Work with a friendly team of highly motivated individuals
- Be in an environment where you are listened to and can actually have an impact
- Thriving collaborative and inclusive company culture
- Mission + Functional team socials every 8 weeks
- Company shares
- Company pension scheme
- Hybrid working environment
- Home office furniture allowance
- Personal Annual Learning and Development budget
- Private Medical Insurance
- Health Cash Plan (cashback on visits to the dentist & opticians etc)
- Cycle to work scheme
- E-bike hire scheme
- Wellhub subscription to a variety of gyms and wellbeing apps
- Enhanced parental pay & leave
- 25 days holiday + bank holidays with additional days added with length of service.
This is a hybrid role. Our office is in London, by the Oxo Tower
