Compliance Manager Investment Products, MiFID, CASS

Job Brief

The Risk & Compliance team plays a key role in protecting the clients customers and business. This Compliance Manager role will be a subject matter expert in investments and funds, and be responsible for advising on and overseeing the clients 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 them 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