Financial Promotions Compliance Manager

Royal London; London; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A leading UK fund management company seeks a Financial Promotions Compliance Manager in London. The role involves ensuring that all financial communications and promotions meet regulatory standards, working closely with various teams within the organization to manage risks and maintain compliance. This opportunity is ideal for candidates with experience in customer communications and financial promotions within the financial investment sector.

Benefits

28 days of annual leave plus bank holidays

Up to 14% employer pension matching

Private medical insurance

Qualifications

• Experience in financial services, particularly investment management or banking.
• Strong knowledge of FCA COBS rules, MiFID II, and related regulations.
• Experience in compliance or marketing roles focused on financial promotions.

Responsibilities

• Create clear and compliant financial promotions and marketing materials.
• Review and ensure compliance with financial promotion regulations.
• Provide regulatory advisory support and conduct training.

Skills

Compliance

Regulatory knowledge

Marketing governance

Risk management

Customer communications

Job description

Financial Promotions Compliance Manager, London

Client: Royal London

Location: London, United Kingdom

Job Category: Other

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EU work permit required: Yes

Job Details

Job Reference: ffc4c8e7850e

Job Views: 7

Posted: 25.06.2025

Expiry Date: 09.08.2025

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 seeking a Financial Promotions and Compliance Manager to join the Royal London Asset Management (RLAM) Client Group on a permanent basis.

The role involves supporting the Client Group team by ensuring that financial promotions, regulatory customer communications, fund literature, customer journeys, and marketing collateral meet regulatory standards. These responsibilities are part of the business risk management to ensure positive customer outcomes.

You will work with various teams across the Client Group and Compliance to ensure adherence to regulations. Collaboration with a sister role within Royal London Group will also be essential to maintain a robust procedural framework.

This opportunity is ideal for candidates with experience in customer communications and financial promotions within the financial investment sector, especially as RLAM enters a new phase of growth and international expansion.

Key Responsibilities

• Create financial promotions, regulatory customer communications, fund literature, customer journeys, and marketing collateral that are clear, fair, and not misleading.
• Maintain processes to verify compliance with relevant financial promotion and regulatory requirements for UK and international markets.
• Review and update existing financial promotions procedures.
• Ensure governance over marketing publications and fund literature, including approval systems.
• Provide regulatory advisory support and conduct training for team members.
• Identify risks in the financial promotions process and collaborate to mitigate them.
• Ensure compliance with Consumer Duty and SDR responsibilities.

Candidate Profile

• Experience in the financial services sector, particularly in investment management or banking.
• Experience approving financial promotions/advertising in the UK and/or Europe, within Compliance or Marketing roles.
• Strong knowledge of FCA COBS rules, MiFID II, UCITS IV, FUND, CASS, AIFMD, GDPR, KIID, PRIIPS KID, SDR, anti-greenwashing, and related regulations.
• Understanding of marketing and product governance frameworks.

About Royal London Asset Management

Part of the Royal London Group, RLAM is a leading UK fund management company committed to responsible investing and long-term client relationships. We promote an inclusive, responsible, and fulfilling workplace aligned with our Spirit of Royal London values: Empowered, Trustworthy, Collaborate, Achieve.

Our benefits include 28 days of annual leave plus bank holidays, up to 14% employer pension matching, private medical insurance, and more. Details of our benefits can be found on our website.

Inclusion, Diversity, and Belonging

We value diverse backgrounds and perspectives, which enhance our skills and workplace culture. We are committed to creating an inclusive environment for all employees.