Job Description
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