Compliance Manager (Investment Products, MiFID, CASS)

TN United Kingdom; London; Hybrid; GBP 50,000 - 90,000; Full time

Job summary

Ein dynamisches Unternehmen sucht einen Compliance Manager, der für die Überwachung von Anlageprodukten verantwortlich ist. In dieser Rolle arbeiten Sie eng mit dem Risk & Compliance-Team zusammen, um ein erstklassiges Compliance-Programm aufzubauen. Sie werden die Verantwortung für die Einhaltung der regulatorischen Anforderungen übernehmen und sicherstellen, dass die Produkte den besten Kundenservice bieten. Mit einem inklusiven und kollaborativen Arbeitsumfeld sowie Möglichkeiten zur beruflichen Weiterentwicklung ist dies eine spannende Gelegenheit für alle, die in einem schnell wachsenden Unternehmen arbeiten möchten.

Benefits

Unternehmensanteile

Pensionsplan

Private Krankenversicherung

Home-Office-Zulage

Budget für Lernen und Entwicklung

Wellness-Programme

Qualifications

• Erfahrung in der Überwachung von Anlageprodukten und Kenntnis der UK-Regulierungsanforderungen.
• Ausgezeichnete Kommunikations- und Analysefähigkeiten.

Responsibilities

• Aufbau eines erstklassigen Compliance-Programms in Zusammenarbeit mit dem Team.
• Überwachung von Anlageprodukten und Durchführung von regulatorischen Projekten.

Skills

Überwachung von Anlageprodukten

Kenntnis der UK-Regulierungsanforderungen

MiFID-Regeln

CASS-Regeln

Kommunikationsfähigkeiten

Analytische Fähigkeiten

Education

Universitätsabschluss oder höher

Job description

Compliance Manager (Investment Products, MiFID, CASS), London

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. This Compliance Manager role will be a subject matter expert in investments and funds, responsible for advising on and overseeing Moneybox’s investing products, as well as broader compliance duties.

What You’ll Do

• Work closely with the Risk & Compliance team and the business to build a best-in-class compliance program. Your duties include:
• Advising the business to develop great investing products that help customers achieve their goals
• Managing relationships across the business
• Providing compliance oversight of investing products and processes through monitoring and reviews to ensure effective operation and good customer outcomes
• Monitoring investment products and services, offering feedback for improvements
• Carrying out regulatory projects to implement changes
• Preparing and maintaining policies and procedures
• Reviewing or advising on complex financial promotions and customer complaints to ensure fair outcomes
• Promoting awareness and providing training on regulatory requirements
• Contributing to team efforts to enhance controls
• Staying updated on regulatory developments impacting retail investment firms

Experience and Skills

• Experience overseeing investment products
• Knowledge of UK regulatory requirements for investment products, especially funds, and understanding of MiFID and CASS rules
• University degree or higher
• Excellent communication and listening skills
• Fluency in English
• Ability to work independently with minimal guidance

Who You Are

• A driven individual seeking to build a career at a fast-growing, impactful company
• Proactive with a strong bias for action
• Independent and questioning mindset
• Adaptable with good prioritization skills
• Methodical and analytical in decision-making
• Eager to learn and develop expertise in new areas
• Personable, excellent communicator, passionate about work and colleagues
• Maintains professionalism while enjoying work

What’s in It for You?

• Opportunity to join a fast-growing, award-winning company
• Collaborate with motivated and friendly colleagues
• Impactful work environment where your input is valued
• Inclusive, collaborative culture
• Competitive salary and benefits, including company shares, pension, private medical insurance, and more
• Hybrid working with home office allowance
• Learning and development budget, wellness programs, and additional perks

Note: This role is hybrid, based in London near the Oxo Tower. By applying, you agree to our data handling policies. Applications are subject to background checks. Unsuccessful candidates' data may be retained for future opportunities unless requested otherwise.