Our client is an award-winning investment manager, providing Real Estate funding, Private Equity and is a leading provider of growth capital. They also run an Equities fund.
Financial Promotions experience is desired for this role.
THE RESPONSIBILITIES:
Review and approve financial promotions, marketing materials and other communications to clients and external distributors, ensuring that all materials comply with applicable regulatory requirements and internal policies and are clear, fair and not misleading
Work closely with relevant teams, including Marketing and Product, to ensure that promotional strategies are compliant and that all external facing collateral is factually accurate, appropriately maintained and subject to ongoing review and approval, and that communications sign-off is actioned in a timely and robust manner
Maintain accurate and auditable records of all reviewed and approved materials
Build and maintain a strong working relationship with the Product team to ensure a sound understanding of product and service features
Supporting the delivery of the Compliance Monitoring Programme
Assisting with governance, reporting and thematic reviews
Assisting with regulatory horizon scanning and internal regulatory updates
Contributing to policy and procedure reviews
Assist with streamlining compliance processes, leveraging AI
Supporting ad‑hoc compliance queries from the business
EXPERIENCE REQUIRED:
Experience working within a Compliance function at an FCA-regulated investment management firm
Proven understanding of FCA regulatory requirements relating to financial promotions and client communications
Previous exposure to Compliance Frameworks, with experience of compliance monitoring including thematic reviews and horizon scanning
Exceptional organisation skills, with the ability to multi-task and prioritise competing demands
Proven time management skills, with an ability to deliver against strict deadlines
Excellent attention to detail
Ability to develop and maintain strong working relationships across the business, and to manage stakeholder expectations effectively
For further information please contact Duncan Jeffery
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