Compliance Manager - Alexander Mann Solutions (Contingent)

ZipRecruiter; London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading financial services company is seeking a Financial Promotions Compliance Manager to establish compliance frameworks for financial promotions in the UK and international markets. The role involves collaboration across teams, ensuring adherence to regulatory requirements, and requires extensive knowledge of the financial sector and regulatory standards, enhancing risk management and governance practices.

Qualifications

• Experience in investment management or banking sector.
• Experience approving financial promotions/advertising.
• Good regulatory knowledge of FCA rules, MiFID II, UCITS, etc.

Responsibilities

• Set up process to verify compliance with financial promotion requirements.
• Review and update compliance guidance.
• Prepare and conduct training on regulatory requirements.

Skills

Knowledge of financial services sector

Regulatory knowledge

Attention to detail

Tools

Seismic

Job description

Job Description

Royal London is a financial services company with a difference. As the UK's largest mutual life, pensions and investment company, we're owned by our members and work for their benefit, not for shareholder profits. We've grown rapidly and have been recognised as one of the UK's top rated places to work.

Today, Royal London has over £114 billion of funds under management, and around 3,500 employees working in six offices across the UK and Ireland. We've worked hard to become experts in our specialist markets, building a trusted brand - and our teams have plenty of awards to show for it. Whatever team you're interested in joining and whatever role you play, we'll help you to make a difference.

Purpose of the Role:

You will collaborate with other teams across the Client Group and Compliance to set up financial promotions procedural framework as a business function, and coordinate implementation to ensure consistent application.

This is an exciting opportunity to join RLAM as we are entering a new chapter of growth and international expansion. If you have customer communications and financial promotions experience within financial investment sector, we would love to hear from you!

Responsibilities of the role:

As the Financial Promotions Compliance Manager, you will be responsible for:

• Set up a process to verify compliance with relevant financial promotion & regulatory requirements for the UK & international markets
• Review and update existing procedures or compliance guidance
• Design good governance over marketing publications and fund literature incl. the approval system
• Prepare and conduct training for team members relating to regulatory requirements and industry best practices
• Recognise risks in the financial promotions production process and ensure that the new framework addresses them adequately

What we require from the candidate:

• Knowledge of financial services sector, with experience within investment management or banking sector
• Previous experience of approving financial promotions/advertising in the UK and/or Europe gained either as part of the Compliance or Marketing role
• Good regulatory knowledge of FCA rules, MiFID II, UCITS, FUND, CASS, AIFMD, GDPR, KIID and PRIIPS, SDR, anti-greenwashing and other relevant rules
• High standard of accuracy and attention to detail
• Knowledge of the marketing and product governance frameworks
• Previous experience with Seismic

Next steps

This client will only accept workers operating via an Umbrella/PAYE engagement model.

If you are interested in applying for this position and meet the criteria outlined above, please click the link to apply and speak to one of our sourcing specialists now.

AMS, a Recruitment Process Outsourcing Company, may in the delivery of some of its services be deemed to operate as an Employment Agency or an Employment Business