The main duties of the role are as follows:

  • Provision of advisory support and oversight of compliance matters relating business functions operating within EMEA and also Latin America.
  • Review and approval of all sales and marketing material relating to products offered in the UK, Ireland, Luxembourg and the Cayman Islands.
  • Review and approval of financial promotions for both retail and professional clients in compliance within the current jurisdictional regulatory regime.
  • Assistance in the review of distribution agreements, rebate letters, commercial agreements and legal contracts entered into across the EMEA region.
  • Actively assist in the implementation and and execution of the compliance risk-based monitoring programme - primarily for business functions in London but also in other locations to include branches, subsidiaries and also representative offices. This will entail accompanying other team members when off-site and assistance with the preparation of the resultant reports.
  • Assistance in the preparation of reports for the executive committee across the EMEA region and the collation of statistical data around financial promotions for management information purposes.
  • Contribute to general compliance duties including maintaining the compliance manual, policy and procedures, individual registrations and any required regulatory reporting.
  • Maintain up to date awareness of the appropriate regulatory landscape and it potential impact on the appropriate business units.
  • Assist with ad hoc compliance projects in respect of regulatory change and its impact as required by the business.
  • To deputise as required for the manager, financial promotions and distribution and to provide elements of mentoring for junior members of the team.

The ideal candidate will possess the following skills and attributes:

  • Experience of working with financial promotions, ideally with exposure across multiple jurisdictions would be advantageous.
  • Familiarity with retail financial services products - in particular UCITs
  • A good working knowledge of the UK regulatory environment - especially in respect of of the supervisory approach used by the FCA - in particular the financial promotions rules in COBs
  • A language skill - French, German, Italian or Spanish would be advantageous.
  • Well developed stakeholder management, negotiation and influencing skills.
  • Strong interpersonal skills
  • Able to work effectively within a team or autonomously as required
  • Able to engage with the business in a credible and collaborative fashion.

In return for the above my client offers a competitive remuneration package and the opportunity to joining an industry leading and award winning team

A full job description is available upon application.