Compliance Lead — Build Next-Gen Financial Advice

Moneybox; Greater London; Hybrid; GBP 90.000 - 120.000; Vollzeit

Benefits dieser Stelle

Hybrid working

Company pension

Private Medical Insurance

Health Cash Plan

Learning & Development budget

Wellhub wellbeing subscription

Zusammenfassung

Moneybox is building its compliance function for a growing advice business. You will own the second-line controls, oversee the regulatory framework and lead on financial crime and consumer duty across the Aurora-based platform.

You will shape monitoring programmes, embed risk-based processes, and collaborate across a small executive team to ensure safe, compliant delivery of financial guidance to customers.

Qualifikationen

• Substantial experience in a second line compliance role within a UK regulated retail advisory/wealth/fintech firm.
• Strong working knowledge of FCA Handbook as it applies to retail investment advice and PROD, SM&CR, DISP and Consumer Duty.
• Hands-on design and delivery of monitoring, assurance and reporting to senior stakeholders.

Aufgaben

• Design and operate a risk-based compliance monitoring and assurance programme across the advice service.
• Provide practical compliance guidance on the end-to-end advice journey to ensure suitable outcomes.
• Oversee compliance for financial promotions, complaints handling and regulatory reporting.
• Support MLRO in running the financial crime framework, including risk assessments and training.
• Evidence Consumer Duty outcomes and oversee investigations into complaints and advising processes.
• Maintain policies, governance, and framework for SM&CR and fit-and-proper checks.
• Collaborate with Moneybox teams to ensure compliance in new propositions and product governance.
• Prepare MI for the Board and executive on compliance matters and regulatory changes.

Kenntnisse

Second line compliance

FCA Handbook knowledge

Compliance monitoring

Regulatory reporting

Customer due diligence

Regulatory change awareness

Ausbildung

Diploma in Compliance

Jobbeschreibung

Moneybox is building its compliance function for a growing advice business. You will own the second-line controls, oversee the regulatory framework and lead on financial crime and consumer duty across the Aurora-based platform.

You will shape monitoring programmes, embed risk-based processes, and collaborate across a small executive team to ensure safe, compliant delivery of financial guidance to customers.