About the Role
What’s in it for you?
As an investment manager, Octopus Investments operates in both retail and institutional markets, across a wide range of asset classes. The role will enable you to get a wide range of exposure to different compliance topics and a range of stakeholders in the business.
Working within Compliance at Octopus gives you the freedom and opportunity to use your commerciality in making an impact and driving change, whilst leading a team that partners with the business to find solutions that support our ambitious growth plans. It will be a challenging fast paced environment where you will learn rapidly and be forced to prioritise different tasks, but you will never be bored!
The team:
The compliance team has a number of experienced individuals who are fun to work with and provide pragmatic and commercial solutions to the business while protecting the business and keeping it safe. In addition, you will sit within the wider Risk & Compliance function of around 40 who are a very visible and central business unit that operates more commercially and collaboratively than in many other regulated organisations.
What will you be doing?
Providing timely and accurate compliance advice and solutions to support the business’ growth objectives and protect our existing business, whilst developing and maintaining all necessary compliance policies and procedures.
Protect what we have - Sharing your knowledge and providing constructive challenge to the way we do things currently, helping the business and the compliance team to manage Octopus’ compliance risk in the most efficient way, as well monitoring regulatory developments and assisting the business in the implementation of regulatory change.
Providing the business with engaging, practical compliance training which focuses on what people need to know to perform their role compliantly.
Taking the lead in identifying, assessing and reporting on compliance risks, escalating issues to Senior Management.
Lead the Compliance team, by delivering at pace, providing alternative solutions, while leading on and managing compliance support to the business.
Granting formal compliance approval for financial promotions, personal account dealing, gifts and benefits, outside appointments etc. In due course taking on the SMF16 function.
Qualifications
✅ 5-10 years Investment Management Advisory Compliance Experience. Ideally with exposure to retail investments, but willing to consider other exceptional candidates.
✅ The skillset to be an amazing leader and people manager, who can engage with all different stakeholders across the business.
✅ Technical knowledge that includes Investment management services (e.g. discretionary managed portfolios, funds etc), MIFID, including all COBS requirements, Product Governance Requirements for manufacturers, Market abuse requirements.
✅ A keen interest in FCA regulatory developments, proactively keeping up to date with these
We encourage you to apply even if you don’t tick every box. What’s the worst that can happen?
This role will evolve as we grow and develop. So, if you are looking for a challenge in a fast paced and dynamic business, we can deliver on that.