Senior Compliance Manager (Retail Investments)

Senior Compliance Manager (Retail Investments)

Senior Compliance Manager (Retail Investments) Investment FinTech Location: London (Hybrid - 2 days office, 3 days WFH per week) Salary: To £75k - £85k shares benefits How do you fancy working for a FinTech with an amazing reputation - both for the service it provides and the way it treats its staff? This company has a Glassdoor score of - that’s virtually unheard of in the UK. And here’s a snapshot of what staff have had to say about them. “Amazing place to work with supportive and motivated people” “Dream company and work culture” “Great place to learn and be heard” This innovative FinTech has made headlines for all the right reasons over the last 7 years. It’s been a really exciting journey so far and they’ve got an even more exciting future ahead. The Risk & Compliance function has grown from 4 to more than 20 in a little over 3 years. That sort of growth creates opportunities for career development meaning this could be the start of something special for you. Operating as a subject matter expert in investments and funds, you’ll be responsible for advising on new investment product development as well as monitoring products and services to ensure the firm delivers good customer outcomes. You’ll also undertake periodic reviews of the firm’s investment product portfolio and processes, ensuring they work as planned and provide feedback on how they can be enhanced, and approve higher risk and more complex financial promotions. You’ll have gained several years’ Compliance experience focused on investment products, preferably in the retail arena, and have a detailed knowledge of UK regulatory requirements in this space, including MiFID, MAR, UCITS etc. Excellent communication and stakeholder management skills are essential. Interested? Click apply. Not got an up to date CV? Don’t worry, you can always give me (Mark) a call on 0121 274 0357 for an informal chat or email me at We’ll pick it up from there.

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