Senior Compliance Manager (Investments)

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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

Seniority level

Seniority level
Mid-Senior level

Employment type

Employment type
Full-time

Job function

Job function
Legal

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