Moneybox Stowmarket, England, United Kingdom

Senior Compliance Manager (Investments)

Moneybox Stowmarket, England, United Kingdom

1 week ago Be among the first 25 applicants

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 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
  
  

• 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
  
  

• 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.
  
  

• 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.
  
  

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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