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Senior Compliance Manager (Investments)
Location: London (Hybrid – 2 to 3 days in the office)
We are hiring on behalf of a fast-growing fintech that is transforming how people save, invest, and plan for their financial future. As the business continues to expand its investment offering, they are seeking a Senior Compliance Manager (Investments) to play a key role in ensuring strong, customer-focused compliance across their products.
This is an excellent opportunity to step into a senior position within a progressive and collaborative Risk & Compliance function. You will help shape investment oversight frameworks, provide expert regulatory guidance, and contribute to building a best-in-class compliance culture.
What you’ll be doing
- Lead the development of a proportionate investment oversight framework and provide regulatory advice to support the delivery of compliant, customer-focused investment products
- Oversee investment services from a second line perspective and manage key relationships with internal teams and external partners, such as asset managers
- Drive regulatory change initiatives, maintain compliance policies, and advise on high-risk promotions and complex customer scenarios
- Contribute to broader compliance and governance projects while staying on top of relevant regulatory developments
What we’re looking for
- In-depth knowledge of UK investment product regulations, including MiFID and CASS
- Experience overseeing retail investment products, including periodic reviews and governance frameworks
- Proven ability to provide compliance advice within a retail investment environment
- Ideally, experience in setting up or maintaining fund oversight and governance structures
- Ability to work independently, with sound judgement and a methodical, analytical approach
