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Form of work
Salary
About the role:
Join the dynamic Risk & Compliance team at an up-and-coming investment firm in London, where a pivotal role is played in safeguarding customers and driving business success. As a Compliance Manager, you will specialize in investments and funds, advising on product development and ensuring compliance across the board, particularly with respect to MiFID and CASS regulations.
Responsibilities:
Collaborate with teams to establish and enhance a robust compliance program.
Advise on creating exceptional investing products aligned with customer goals.
Manage relationships and provide oversight for investing products.
Conduct monitoring to ensure product functionality and positive outcomes.
Lead regulatory projects and maintain policies and procedures.
Review financial promotions and customer complaints for fair outcomes.
Stay informed about regulatory developments impacting retail investment firms.
Who You Are:
Motivated, action-oriented individual with a questioning mindset.
Adaptable with strong prioritisation skills.
Methodical in approach, unafraid of new challenges.
Excellent communicator with a professional yet enjoyable demeanor.
Experience and Skills:
Proven experience in overseeing investment products.
In-depth knowledge of UK regulatory requirements, particularly funds, MiFID, and CASS rules.
University educated with excellent communication skills in English.
Ability to work independently.
Join an up-and-coming, dynamic investment firm in London.
Collaborate with a motivated team in a dynamic environment.
Make a tangible impact with your valued input.
Experience a thriving, inclusive company culture.
Competitive remuneration package.
Hybrid role with 2 days in the London office.
Join an up-and-coming investment firm in London as a Compliance Manager, where you'll play a pivotal role in safeguarding customers, driving business success, and ensuring regulatory compliance, particularly with MiFID and CASS rules. Apply now to be part of a dynamic team, make a tangible impact, and contribute to a thriving, inclusive company culture.
