Financial Promotions Compliance Manager

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

Job summary

A leading financial services company in London seeks a Financial Promotions and Compliance Manager to ensure regulatory compliance in financial promotions and marketing literature. The successful candidate will have experience in customer communications within the financial investment sector, alongside strong regulatory knowledge. This role offers a hybrid working model and an attractive benefits package, including a generous pension scheme and private medical insurance.

Benefits

28 days of annual leave plus bank holidays

Up to 14% employer-matched pension scheme

Private medical insurance

Qualifications

• Experience in investment management or banking.
• Experience in approving financial promotions/advertising.
• Good regulatory knowledge is essential.

Responsibilities

• Produce financial promotions and regulatory communications.
• Maintain compliance verification processes.
• Review existing procedures for financial promotions.

Skills

Knowledge of financial services sector

Regulatory knowledge including FCA COBS rules

Experience in financial promotions approval

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 support 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 are part of the business risk function to enable the business to deliver good customer outcomes.

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

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

About the role

1. Produce financial promotions, regulatory customer communications, fund literature, customer journeys, and other marketing collateral, ensuring they are clear, fair, and not misleading.
2. Maintain a process to verify compliance with relevant financial promotion and regulatory requirements for UK and international markets.
3. Review and update existing financial promotions procedures.
4. Ensure good governance over marketing publications and fund literature, including administering the approval system.
5. Provide advisory support to colleagues. Prepare and conduct training related to regulatory requirements and industry best practices.
6. Identify risks in the financial promotions production process and collaborate within the wider business to address them.
7. Ensure compliance with Consumer Duty and SDR accountabilities.

About you

1. Knowledge of the financial services sector, with experience in investment management or banking.
2. Experience in approving financial promotions/advertising in the UK and/or Europe, gained in Compliance or Marketing roles.
3. Good regulatory knowledge including FCA COBS rules, MiFID II, UCITS IV, FUND, CASS, AIFMD, GDPR, KIID, PRIIPS KID, SDR, anti-greenwashing, and other relevant rules.
4. Knowledge of marketing and product governance frameworks.

About Royal London Asset Management

Part of the Royal London Group, RLAM is one of the UK's leading fund management companies, working globally to achieve clients' investment goals. We are committed to responsible investment and act as responsible stewards of our clients' capital, exercising rights and influencing positive change.

Our workplace culture emphasizes inclusivity, responsibility, enjoyment, and fulfillment, guided by our Spirit of Royal London values: Empowered, Trustworthy, Collaborate, Achieve.

We offer attractive benefits such as 28 days of annual leave plus bank holidays, up to 14% employer-matched pension scheme, and private medical insurance. All our benefits can be viewed on our website.

Inclusion, diversity, and belonging

We celebrate and value diverse backgrounds and cultures at Royal London. Our diverse perspectives enhance our skills and are recognized and respected, regardless of background.