Investment Compliance Lead

We are looking for a pro-active, highly motivated and ambitious individual to join our Risk and Compliance team as our Lead Investment Compliance Manager with a focus on ensuring that we build and maintain compliant investment products in line with our business strategy and relevant regulations. Working closely with the Group Head of Compliance, you will get the opportunity to lead the group’s investment activities for our UK entity. You will be required to communicate and liaise across different teams within the company and also liaise with regulatory bodies where required.

What You’ll Do

• Provide hands-on, expert guidance to the business to support the building of investment products that are compliant and will help our customers achieve their financial goals.
• Serve as the lead compliance manager for the firm’s regulated entity in the UK, fulfilling obligations and responsibilities as required by the FCA.
• Contribute to broader initiatives within the team, working to strengthen internal controls and compliance frameworks.
• Conduct training sessions and promote awareness of regulatory requirements and expectations across the organisation.
• Review and provide input on high-risk or complex financial promotions and customer complaints to ensure compliance and fair outcomes.
• Lead the development and and assist in the implementation of compliance policies and procedures by engaging in drafting and/or updating them to reflect evolving regulatory requirements. Collaborate closely with key stakeholders to ensure that these policies are practical, effective and seamlessly integrated into the firm’s operations, fostering a robust culture of compliance.
• Lead regulatory projects, ensuring that changes are implemented efficiently and in line with evolving requirements.
• Continuously assess and offer feedback on how our investment products and services can be improved.
• Oversee compliance for investment products and processes through consistent monitoring and reviews, ensuring they operate effectively and deliver positive customer outcomes.
• Collaborate closely and effectively with other teams to ensure alignment on compliance objectives and initiatives. Take a proactive role in supporting their development by providing guidance, sharing expertise, and fostering a culture of cooperation and continuous improvement across the organisation.

What we’re looking for

• 4+ years of experience in a Compliance role overseeing investment products.
• Strong knowledge of UK regulations regarding investment products, especially knowledge of CASS and MiFID regulatory requirements (knowledge of EU regulations in this area would also be advantageous)
• Experience with wealth products like ISA (Cash-ISA, S&S ISA) mutual funds and SIPP.
• Knowledge of regulatory requirements, such as operational resilience and consumer duty.
• Strong analytical skills and attention to detail.
• Demonstrate a hands-on approach in a fast-paced environment, with the ability to effectively prioritise tasks to meet deadlines. Work both independently and collaboratively, including managing teams, to ensure assigned tasks are completed efficiently and within established timeframes.

Plum Perks

• We’re all in this together! Own part of the company through stock options
• Private health insurance
• Annual training budget
• Plum Premium
• Referral scheme: earn competitive rewards
• Flexible approach to remote working: we encourage at least 2 days a week in one of our beautiful offices in London, Athens or Cyprus
• Team breakfasts and lunches.
• 25 days holiday + bank holidays
• 45 work-from-anywhere days: giving you the flexibility to work your way.
• 2 weeks sabbatical after 4 years to take the break you deserve.
• Enhanced parental leave
• 1 paid volunteering day annually
• Annual team trip: to a surprise destination!
• A fun, inclusive company culture (think )

If this sounds like you, we’d love to hear from you!

Thanks,

Team Plum

*Plum is an Equal Opportunity Employer. Plum does not discriminate on the basis of race, religion, sex, gender identity, sexual orientation, non-disqualifying physical or mental disability, national origin or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit and business need.

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