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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 stellar Glassdoor score of 4.8.
- 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 a supportive culture.
- Qualifications: Experience in UK regulatory requirements and retail funds compliance is essential.
- Other info: Contact Mark for an informal chat if you need help with your CV.
The predicted salary is between 60000 - 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 for investment products, especially those related to retail funds. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in a fast-paced FinTech environment.
✨Tip Number 2
Network with professionals in the compliance and investment sectors. Attend industry events or webinars to connect with others who work in similar roles. This can provide valuable insights and potentially lead to referrals within the company.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues in previous roles. Highlight your experience with MiFID and CASS rules, as well as any innovative solutions you've implemented to enhance compliance processes.
✨Tip Number 4
Research the company's culture and values, as they place a strong emphasis on employee satisfaction. Be ready to articulate how your personal values align with theirs during the interview, showcasing that you're not just a fit for the role, but also for the team.
We think you need these skills to ace Retail Funds Compliance Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Retail Funds Compliance Manager. Familiarise yourself with UK regulatory requirements, particularly MiFID and CASS rules, as well as the specifics of overseeing retail funds.
Tailor Your CV: Craft your CV to highlight relevant experience in compliance, particularly with investment products and retail funds. Use specific examples that demonstrate your knowledge and expertise in the field, ensuring it aligns with the job description.
Write a Compelling Cover Letter: Your cover letter should express your enthusiasm for the role and the company. Mention why you are drawn to this FinTech and how your background makes you a perfect fit for their team. Be sure to include your understanding of their culture and values.
Proofread Your Application: Before submitting, carefully proofread your application materials. Check for any spelling or grammatical errors, and ensure that all information is clear and concise. 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
✨Research the Company Culture
Before your interview, take some time to understand the company's culture and values. With a Glassdoor score of 4.8, it's clear that this FinTech values its employees. Be prepared to discuss how your personal values align with theirs.
✨Showcase Your Compliance Expertise
As a Retail Funds Compliance Manager, you'll need to demonstrate your knowledge of UK regulatory requirements, particularly MiFID and CASS rules. Prepare specific examples from your past experience where you've successfully navigated compliance challenges.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills in compliance situations. Think about past experiences where you had to provide compliance advice or conduct reviews, and be ready to explain your thought process.
✨Ask Insightful Questions
At the end of the interview, have a few insightful questions ready to ask. This could include inquiries about the company's future plans for growth in the compliance sector or how they support employee development. It shows your genuine interest in the role and the company.
