Senior Compliance Manager (Investments)

London Office
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