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For Companies At a Glance
- Tasks: Lead compliance for retail investment products and enhance oversight frameworks.
- Company: Join a top-rated FinTech with a 4.8 Glassdoor score, known for its supportive culture.
- Benefits: Enjoy hybrid working, competitive salary, shares, and great perks.
- Why this job: Be part of a rapidly growing team in an innovative company with exciting career opportunities.
- Qualifications: Experience in UK regulatory requirements for investment products and overseeing retail funds is essential.
- Other info: Contact Mark for an informal chat if you need help with your CV.
The predicted salary is between 51000 - 85000 £ per year.
Job Description
Retail Funds Compliance Manager
Retail Investment FinTech
Location: London (Hybrid – 2 days office, 3 days WFH per week)
Salary: To £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 4.8 – 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.
You’ll be the investment compliance subject matter expert for the business, the go to person for any compliance queries related to the firm’s portfolio of investment products, particularly their retail funds.
You’ll develop and deliver an investment oversight framework proportionate to the business and 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.
You’ll possess a detailed knowledge and proven experience of the commercial application of UK regulatory requirements for investment products, particularly funds, and an understanding of MiFID and CASS rules.
You’ll also have extensive experience of overseeing retail funds, monitoring and conducting periodic reviews to ensure they’re working as planned as well as significant experience of providing compliance advice to a business offering retail investment products.
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 mark.wilson@willowresourcing.co.uk. We’ll pick it up from there.
Retail Funds Compliance Manager employer: Willow Resourcing Limited
Contact Detail:
Willow Resourcing Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Retail Funds Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest UK regulatory requirements, especially those related to investment products like MiFID and CASS. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the compliance field.
✨Tip Number 2
Network with professionals in the FinTech and compliance sectors. Attend industry events or webinars to connect with others who work in retail funds compliance. This can provide valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues in previous roles. Highlight your experience with retail funds and any frameworks you've developed or improved, as this will showcase your expertise.
✨Tip Number 4
Research the company culture and values of the FinTech you're applying to. Understanding their approach to employee satisfaction and development can help you tailor your conversation during interviews, showing that you're a great fit for their team.
We think you need these skills to ace Retail Funds Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly with retail funds and UK regulatory requirements. Use specific examples to demonstrate your expertise in MiFID and CASS rules.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for the FinTech industry and your understanding of the company's values. Mention how your skills align with their needs and why you want to be part of their team.
Highlight Your Achievements: In both your CV and cover letter, focus on quantifiable achievements in your previous roles. This could include successful compliance projects or improvements you've implemented in investment oversight frameworks.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Willow Resourcing Limited
✨Know Your Regulations
Make sure you have a solid understanding of UK regulatory requirements, especially those related to investment products like MiFID and CASS rules. Be prepared to discuss how these regulations impact retail funds and your previous experiences in applying them.
✨Showcase Your Expertise
As the subject matter expert for compliance, highlight your experience overseeing retail funds and conducting periodic reviews. Share specific examples of how you've improved compliance processes or frameworks in your past roles.
✨Demonstrate Your Problem-Solving Skills
Be ready to discuss challenges you've faced in compliance and how you've resolved them. This could include situations where you had to provide compliance advice or enhance existing processes. Employers love candidates who can think critically and adapt.
✨Cultural Fit Matters
This company prides itself on its supportive work culture. Research their values and be prepared to explain how your personal values align with theirs. Share why you believe you'd thrive in their environment and contribute positively to the team.
