Regulatory Compliance Manager - Investments
Regulatory Compliance Manager - Investments
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Job Description
Compliance assurance and Conduct
Create and maintain policy and guidance documentation to assist Wise in complying with its regulatory requirements relating to Conduct.
Advise on customer care issues and assist in closing regulatory gaps identified across by 3 LOD
Provide compliance awareness training and insight to the wider business on Conduct requirements
Conduct second line review of Customer Care escalations and Customer Care Impact Assessments (CDIAs)
Conduct second line review of marketing escalations and provide guidance on best practices for marketing communications
Ensure compliance with SMCR requirements including advising on the Fit and Proper framework Reasonable steps framework and SMCR obligations mapping
Support and inform the UK Regulatory Oversight lead with planning strategic projects and implementation of new regulations relating to Conduct
Conduct applicability assessments for upcoming changes identified in the UK horizon scanning
Support first line teams to identify and mitigate regulatory risks
Work closely with the wider regulatory team to manage our policy framework regulatory engagement and reporting
This role will give you the opportunity to:
Develop an in-depth knowledge of Wises business and get to know many teams across the company as you liaise with them to help them understand the regulatory framework and bring together the information that our regulators need.
Help keep compliance right at the heart of our business by helping the team understand and comply with applicable regulatory requirements.
Implement innovative and creative compliance solutions with a technology and customer focused approach to help us achieve the Wise Mission.
Additional Information :
A bit about you:
Our ideal candidate will have a background in regulatory compliance great communication and organisational skills tons of motivation and positivity. More specifically were looking for someone who can demonstrate they have these attributes:
- Theory. You have a working knowledge of regulatory requirements relating to investment businesses and payment services (although not required) excluding financial crime regulations.
Practice. You have worked in a Compliance Team preferably within the second line (2LOD) and are familiar with the FCA Handbook related to investment firms (COBS PROD PRIN COCON FIT DISP and SYSC).
Passion. You are a problem-solver. You get a kick out of finding innovative solutions and collaborating with different teams to deliver a mission.
Get the job done. You have a sense of urgency and an ability to work well under pressure prioritising taking responsibility and communicating priorities effectively to others
Communication. Youre a strong relationship builder across all levels of the business and externally. You have the ability to influence others and empower teams to strengthen their compliance processes to mitigate risks
Development. Youve considered the challenges and development opportunities of working at a fast growing scale-up and are looking to get into FinTech or investment compliance. Heres a taster of what its like working at Wise.
Travel. The role is London-based but many of our teams are located across different office locations. Youll be ready to travel if needed.
What we offer in return:
Competitive base salary
Generous stock options package
Lots of awesome Wise benefits
For everyone everywhere. Were people building money without borders without judgement or prejudice too. We believe teams are strongest when they are diverse equitable and inclusive.
Were proud to have a truly international team and we celebrate our differences.
Inclusive teams help us live our values and make sure every Wiser feels respected empowered to contribute towards our mission and able to progress in their careers.
If you want to find out more about what its like to work at Wise visit .
Keep up to date with life at Wise by following us on LinkedIn and Instagram.
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
