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Financial Promotions - Compliance - 3 days per week

  • Location: London
  • Sector: Compliance
  • Salary: Up to £50000 per annum
  • Job type: Permanent
  • Date posted: 21/02/2018
  • Job reference: 29051
This vacancy has now expired.

This firm is a major global asset manager with multi-billion dollar funds under management.

It is based in central City of London offices and can demonstrate a genuinely collegiate working environment

This role will report into the Deputy Head of Compliance - and offers the chance to work on a three day per week basis

A full specification is available upon request however key areas will include :

Review financial promotions / marketing material destined for dissemination outside of the firm in accordance on policies and applicable European regulation.

Provide guidance and advice to stakeholders on the principles to observe for the elaboration of financial promotions / marketing material

Own and enhance the financial promotions approval framework, ensuring the framework remains appropriate for approval of both Professional and Retail content

Participate and provide input in the definition of rules to govern the process of review and approval of financial promotions / marketing material, taking into account evolutions in the regulatory landscape and emerging best practices.

Perform risk-based, effective and comprehensive compliance reviews of financial promotion, client reporting and other client communication templates and documents that require such a review

Participate when required in projects to refine the process of review and approval of marketing material and the tools used for this purpose, with an eye on maintaining and improving its efficiency


Experience on distribution and financial promotion matters, preferably within the Asset Management industry

Relevant industry qualification or degree (or equivalent)

Regulatory experience and/or experience of working in a compliance

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