Our client is looking for a talented Compliance Analyst to join their Compliance and Legal team. The successful candidate will be based at either our London or Guildford office with some travel to the other location.
The successful candidate will support Compliance with enforcing the rules and regulations of the FCA and associated regulators, particularly in relation to the production and approval of Marketing materials and Fund Product Documentation; and facilitating best practice, They will also provide general support to COO and Head of Compliance & Legal and have the ability to provide effective cover for other areas within the Compliance team.
- Review and approve retail and investment professional fund marketing materials, including RFPs, presentations, factsheets, brochures, web content, video and email marketing content in adherence with the FCAs rules and finalised guidance.
- Provide timely and constructive feedback to Marketing following review of marketing material ensuring that required amendments are made.
- Engage with the Head of Compliance and Compliance Manager in
maintaining the compliance relationship, including supporting open and proactive dialogue, with Marketing, Sales, Front Office, Investment Middle Office, Operations and Risk.
- Maintain personal awareness of the FCA’s 6 Treating Customers Fairly Consumer Outcomes to ensure customers and/or funds are being treated fairly .
- Carry out all duties, along with any non-core duties as may be reasonably required by the management team, in a timely, efficient manner and with good will.
- Support the facilitation of the Company’s training programme.
Assist in the design, implementation and periodic review of the Company’s Compliance-related policies and procedures
- Provide support to the Product Change Manager in the preparation of Product Documentation and timely and accurate filings to the regulator.
- Relevant CISI Qualification
- At least 2 year Financial Promotions experience in Asset Management
- Solid understanding of the UK financial promotion regime under FSMA
- Experience of using Dot Approve
If you are interested in this position, please email your CV to email@example.com
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