Compliance Manager - Financial Promotions

Compliance Professionals; London; On-site; GBP 55,000 - 75,000; Full time

Job summary

A financial compliance firm in London is seeking a Compliance Officer to lead Financial Promotions compliance and advise marketing teams on regulatory requirements. The ideal candidate has over 5 years of compliance experience in financial services, a solid understanding of FCA regulations, and a keen interest in financial markets. This role involves significant strategic oversight and the management of complex complaints.

Qualifications

• 5+ years of experience in compliance in financial services.
• Good working knowledge of financial instruments and investments.
• Some familiarity with UK regulatory frameworks.

Responsibilities

• Lead Financial Promotions compliance.
• Advise on regulatory requirements for marketing campaigns.
• Provide advice on new product introductions.

Skills

Financial promotions experience

Understanding of FCA regulations

Knowledge of leveraged trading

Interest in financial markets

Job description

THE COMPANY

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

THE RESPONSIBILITIES

• Leading on ensuring Financial Promotions compliance, acting as a first point of contact for the marketing teams and leadership.
• Advising the marketing function on regulatory requirements including in respect of approach to specific campaigns.
• Providing advice to the product teams on introduction of new and adaptations to existing products
• Advising all parts of the business on its obligations under the Consumer Duty and application of its principles and outcomes.
• Development and deployment of relevant compliance policy, and associated control frameworks necessary to ensure regulatory compliance and adherence to policy.
• Delivery of ongoing training to the UK divisional business, UK compliance team and other stakeholders as required.
• Assisting Compliance Assurance with monitoring activity as required e.g. client communications.
• Attending Client Money and Assets Committee and assisting in client money advisory matters.
• Reviewing Operational Risk Events for indications of regulatory breaches.
• Managing high-value, and or complex complaints. This encompasses ultimate responsibility for the drafting and submission on a timely basis of the response to the complaint.
• Providing strategic advice on the approach to the ombudsman in response to high-value or precedent-setting complaints within regulatory timelines

EXPERIENCE REQUIRED

• Strong Financial promotions experience
• 5+ years of experience in compliance in financial services or similar regulated environments
• Good working knowledge of leveraged and non-leveraged trading of financial instruments and other popular investments – like Crypto, CFDs, Spreadbett 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.
• Some familiarity with UK regulation and regulatory framework, and other handbook areas such as Client Money & Assets, Product Governance, Training & Competence, SMCR & FIT.

For further information please contact Hannah Tabatabai