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Compliance Manager (Investment Products, MiFID, CASS)



Posted over 30 days ago...

Join Moneybox's dynamic Risk & Compliance team as a Compliance Manager and shape the future of investment products


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No salary declared 😔

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98% Remote- UK

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Expires at anytime

Organisation summary

Moneybox is an innovative and fast-growing company dedicated to helping customers achieve their life goals through smart investing. With a focus on building a world-class compliance program, Moneybox offers a collaborative and inclusive culture, competitive rewards, and a commitment to positive impact. Embark on an exciting career journey with an award-winning business that values your input and offers a plethora of benefits, including shares, a pension scheme, and a personal development budget.

Role Summary

  • Provide expert advice on investment products, ensuring they meet customer needs and regulatory standards.
  • Engage in robust compliance oversight through regular monitoring and reviews.
  • Enhance investment services through insightful feedback and regulatory project delivery.
  • Develop and maintain internal policies and procedures.
  • Handle complex financial promotions and customer complaints to ensure fairness.
  • Promote regulatory awareness and provide necessary training within the company.
  • Stay abreast of regulatory changes affecting retail investment firms.

Role Requirements

  • Proven experience in managing investment products.
  • In-depth knowledge of UK regulatory requirements, especially funds, MiFID, and CASS rules.
  • University degree(s).
  • Strong communication and analytical skills.
  • Self-motivated with the ability to work independently.
  • Passionate, adaptable, and ready to tackle new challenges.

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, and 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: Advise the business to help build great investing products that help our customers achieve their life goals Manage relationships across the business Provide compliance oversight of investing products and processes through monitoring and periodic reviews to ensure they work as planned and deliver good customer outcomes Monitor our investment products and services, and provide feedback on how they can be enhanced Carry out regulatory projects to deliver change Prepare and maintain policies and procedures Review or 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

Experience in overseeing investment products Detailed knowledge of UK regulatory requirements for investment products, particularly funds, and an understanding of MiFID and CASS rules University educated with at least one degree Great communication and listening skills Fluency in English Ability to work on your own with minimal guidance

Who you are

A driven 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. Has a strong bias for action. Has an independent and questioning mind. Able to adapt quickly and manage priorities. 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 business. 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. Competitive remuneration package. 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 Gympass 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

Please read before you apply!

By sending us your application you acknowledge and agree to Moneybox using your personal data as described below.

We collect applicants’ personal data to manage our recruitment related activities. Consequently, we may use your personal data to evaluate your application, to select and shortlist applicants, to set up and conduct interviews and tests, to evaluate and assess the results, and as is otherwise needed in the recruitment process generally.

We do not share your personal data with unauthorised third parties. However, we may, if necessary, share your personal data to carefully selected third parties acting on our behalf. This may include transfers to servers and databases outside the country where you provided us with your personal data. Such transfers may include for example transfers and/or disclosures outside the European Economic Area and in the United States of America.

If you are unsuccessful in your application, we may keep your details on file so that we can tell you about other suitable vacancies which may be of interest to you when they arise in the future. If you would rather we did not keep your details on file, you can contact us at email: [email removed - click apply for more details]

Your application will be subject to criminal record and adverse credit history checks (such as CCJs, IVAs and bankruptcy). As a regulated financial business, an adverse financial history could impact your suitability for the role. If you are aware of anything that could affect your suitability for the role, please let us know.


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