Regulatory Compliance Manager – Investments

  • Location
    • London
  • Date Posted
  • Dec. 27, 2021
  • Function
  • Legal
  • Sector
  • Fintech

Since 2011, we’ve had a clear mission: money without borders. Built by and for people who live global lives, we’re the fairest, easiest way to manage your money across borders.

We’re just at the beginning of our story and we’re growing at an incredible pace. We won’t stop until anyone, anywhere can send, spend and receive money wherever they are, whatever they’re doing. There’s still heaps to do and we can’t do it alone.

We’re looking for a Compliance Manager to support our investment business and scale our Assets product.

Based in London, you will work with a growing team of multidisciplinary specialists (Risk, Legal, Product, Treasury, Security, marketing) across the globe. You’ll help manage and strengthen the team’s approach to managing the regulatory risks, their governance and oversight.  .

Investments advisory

  • Develop our SMCR governance framework, working with relevant teams across Wise and building in tracking, monitoring and escalation processes
  • Own the UK investment product policy framework and advise the product teams on investment firm compliance requirements.
  • Handle escalations in relation to the investment product
  • Monitoring regulatory changes applicable to the investment business and developing implementations plans to ensure changes are implemented in timely manner
  • Work closely with the wider regulatory team to manage regulatory engagement and reporting in relation to investment product
  • Work with the testing and monitoring and IA teams to ensure appropriate assurance reviews are carried out for the UK investment licence
  • Providing regulatory training and self-help materials to assist the investment business comply with regulatory obligations and compliance policies.
  • Overseeing marketing promotions and campaigns

This role will give you the opportunity to:

  • Develop an in-depth knowledge of Wise’s 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 investment 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.

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, we’re looking for someone who can demonstrate they have these attributes:

  • Theory. You are an expert in regulatory compliance standards having a background in Financial Regulation.
  • Practice. You have worked in a Financial Regulation Advisory or Governance role. You might have worked in a Compliance/Legal team and are familiar with the regulatory expectations of the FCA and/or the PRA.
  • 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 and an ability to communicate priorities effectively to others
  • Communication.  You’re 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. You’ve considered the challenges and development opportunities of working at a fast growing scale-up and are looking to get into FinTech or investment compliance. Here’s a taster of what it’s like working at TransferWise.
  • Travel. The role is London-based, but many of our teams are located across different office locations.  You’ll be ready to travel if needed.

What we offer in return:

  • Competitive base salary
  • Generous stock options package
  • Lots of awesome Wise benefits
  • Please note applications for this role will be reviewed w/c 3rd January

We’re people without borders — without judgement or prejudice, too. We want to work with the best people, no matter their background. So if you’re passionate about learning new things and keen to join our mission, you’ll fit right in.

Also, where and what you studied isn’t important to us. If you’ve got great experience, the right skills for the role and you’re great at articulating your thinking, we’d like to hear from you.