Compliance Associate – Financial Promotions (6 month FTC)

THE COMPANY:

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

THE RESPONSIBILITIES:

• Review and approval of financial promotions and client communications
• Complaints investigations and responses
• Updating of compliance policies related to retail regulation
• Reviewing the results of Compliance Assurance and Monitoring work
• Advising the UK front line teams including Marketing, Trading Services and Sales.
• Provision of timely, accurate advice on regulatory and conduct matters to a range of business teams
• Contributing to commercially driven or operational projects related to compliance across our product offering

EXPERIENCE REQUIRED:

• Good working knowledge of leveraged and non-leveraged trading of financial instruments and other popular investments –, CFDs, Spreadbett, Crypto 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.

For further information please contact Hannah Tabatabai