Product Compliance Specialist

6 days ago

London, Greater London, United Kingdom Wise Full time
About the Role

We are seeking a highly skilled and experienced Product Compliance Specialist to join our team at Wise. As a Product Compliance Specialist, you will play a critical role in ensuring that our investment products comply with all relevant regulatory requirements in the UK.

Key Responsibilities
  • Compliance of the Assets Product
    • Work closely with product teams to ensure that new products and features are compliant with applicable regulations.
    • Conduct thorough regulatory analyses of new products and services, ensuring that appropriate controls are in place before launch.
    • Enable product teams to adopt a risk-based approach in developing products, processes, and controls.
    • Identify opportunities to enhance our product proposition and competitiveness by thoroughly analysing relevant regulations and challenging existing interpretations and market practices.
  • Managing and Mitigating Regulatory Risks
    • Identify regulatory risks and ensure effective mitigation for Wise's investment product in the UK.
    • Conduct ongoing regulatory risk assessments, providing valuable advice to product managers on current and upcoming regulations, gaps, and risks.
    • Work with second-line Compliance and Product teams to ensure that remediation plans are agreed upon and executed promptly.
    • Collaborate with colleagues in the second-line compliance oversight team to keep product teams informed of new and upcoming regulations.
    • In collaboration with second-line Compliance and Risk teams, identify and align on the main regulatory issues and risks in the UK. Present this in a very clear and understandable way to the wider teams, to work with them on defining the solutions and how this should be executed.
Requirements
  • Deep working knowledge of UK regulations applicable to retail investment products (FSMA, COBS, CASS, SM&CR, Consumer Duty, etc).
  • Minimum 5 years of experience working in a legal or (first or second line) compliance role within the retail investment industry.
  • Problem-solving attitude, with the ability to use regulation together with data to drive business decisions.
  • Natural owner who wants to go beyond an advisory role and take initiative and drive projects end to end.
  • Ability to effectively communicate with product managers and engineers and provide practical, actionable, and valuable recommendations.
  • Familiar with the evolving regulatory expectations of the FCA with regards to retail investment products.
  • Experience (or keen interest) in working in a fast-growing technology-driven environment.
  • Willingness to travel occasionally, as Wise offices are located across different countries.

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