Compliance Associate – Financial Promotions (6 month FTC)

Compliance Professionals; London; On-site; GBP 100,000 - 125,000; Full time

Job summary

A renowned financial brokerage in London is seeking a compliance professional to oversee financial promotions and client communications. You will handle complaints investigations, update compliance policies, and provide regulatory advice to business teams. Strong knowledge of FCA regulations and a keen interest in financial markets are essential. This role offers a dynamic environment with opportunities to contribute to compliance projects.

Qualifications

• Good working knowledge of leveraged and non-leveraged trading of financial instruments.
• Strong understanding of the FCA regulations applicable over retail investments.
• A keen interest in financial markets and the regulatory environment around these topics in the UK.

Responsibilities

• Review and approval of financial promotions and client communications.
• Handle complaints investigations and responses.
• Update compliance policies related to retail regulation.
• Review results of Compliance Assurance and Monitoring work.
• Advise on regulatory and conduct matters.

Skills

Knowledge of financial markets

Understanding of FCA regulations

Experience in trading financial instruments

Job description

Overview

THE COMPANY: Our client is a well-known Broker based in the heart of the City, with exciting growth plans.

Responsibilities

• Review and approval of financial promotions and client communications
• Complaints investigations and responses
• Updating of compliance policies related to retail regulation
• Reviewing the results of Compliance Assurance and Monitoring work
• Advising the UK front line teams including Marketing, Trading Services and Sales.
• Provision of timely, accurate advice on regulatory and conduct matters to a range of business teams
• Contributing to commercially driven or operational projects related to compliance across our product offering

Experience Required

• Good working knowledge of leveraged and non-leveraged trading of financial instruments and other popular investments –, CFDs, Spreadbet, Crypto etc
• Strong understanding of the FCA regulations applicable over retail investments, particularly the Consumer Duty, COBS, and DISP.
• A keen interest in financial markets and investing, and the regulatory environment around these topics in the UK.

For further information please contact Hannah Tabatabai