Financial Promotions Compliance Manager

Royal London; Greater London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading fund management company in the UK is seeking a Financial Promotions and Compliance Manager to ensure compliance with regulatory standards. The role involves producing financial promotions, maintaining a verification process for compliance, and providing training to team members. Candidates should have experience in the financial services sector, particularly in investment management or banking, with a strong regulatory background. This is an exciting opportunity during a growth phase for the company, offering hybrid working and competitive benefits.

Benefits

28 days annual leave

Up to 14% employer matching pension scheme

Private medical insurance

Qualifications

• Experience in compliance or marketing roles related to financial promotions.
• Detailed understanding of FCA COBS rules and MiFID II requirements.
• Knowledge of marketing and product governance frameworks.

Responsibilities

• Produce and review financial promotions and regulatory communications.
• Ensure compliance with UK and international regulatory requirements.
• Provide training and advisory support on regulatory matters.

Skills

Knowledge of financial services sector

Good regulatory knowledge

Experience in investment management

Experience in approving financial promotions

Job description

Job Title: Financial Promotions and Compliance Manager

Contract Type: Permanent

Location: London

Working style: Hybrid 50% home / office based

Closing date: 19th August 2024

We are currently looking for a Financial Promotions and Compliance Manager to join the Royal London Asset Management (RLAM) Client Group on a permanent basis.

The Financial Promotions Compliance Manager will provide support to the Client Group team by ensuring that financial promotions, regulatory customer communications, fund literature, customer journeys and other marketing collateral meet required regulatory standards. These tasks form part of the business risk function to enable the business to continue deliver good customer outcomes.

You will collaborate with other teams across the Client Group and Compliance to ensure regulatory adherence. You will also collaborate with a sister role within Royal London Group to ensure the procedural framework remains robust and is consistently applied in both teams.

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!

About the role

• Produce financial promotions, regulatory customer communications, fund literature, customer journeys and other marketing collateral and ensure that they meet the requirement to be clear, fair, and not misleading.
• Maintain a process to verify compliance with relevant financial promotion & regulatory requirements for the UK & international markets.
• Review and update existing financial promotions procedures.
• Ensure good governance over marketing publications and fund literature incl. administering the approval system.
• Provide advisory support to colleagues. Prepare and conduct training for team members relating to regulatory requirements and industry best practices.
• Recognise risks in the financial promotions production process and work collaboratively within the wider business to address them adequately.
• Ensure compliance with Consumer Duty and SDR accountabilities.

About you

• 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 including FCA COBS rules on financial promotions MiFID II, UCITS IV, FUND, CASS, AIFMD, GDPR, KIID and PRIIPS KID, SDR, anti-greenwashing and other relevant rules.
• Knowledge of the marketing and product governance frameworks.

About Royal London Asset Management

part of the Royal London Group, is one of the UK's leading fund management companies working with a wide range of clients across the globe to achieve their investment goals. Our long-term, client-driven focus means that we have a long-standing commitment to responsible investment. We act as responsible stewards of our clients’ capital, exercising their rights and influencing positive change.

Our to our colleagues is that we will all work somewhere inclusive, responsible, enjoyable and fulfilling. This is underpinned by our Spirit of Royal London values; Empowered, Trustworthy, Collaborate, Achieve.

We've always been proud to reward employees by offering great workplace benefits such as 28 days annual leave in addition to bank holidays, an up to 14% employer matching pension scheme and private medical insurance. You can see all our benefits here -

Inclusion, diversity and belonging

We’re an employer. We celebrate and value different backgrounds and cultures across Royal London. Our diverse people and perspectives give us a range of skills which are recognised and respected – whatever their background.