Compliance Associate - Monitoring & Financial Promotions
A leading online trading platform are looking for a proactive, highly organised, detail oriented Compliance Associate to join their rapidly expanding team. You will be working closely with the Head of Compliance.
- To review and approve financial promotions across all channels including website, presentations, marketing and social media.
- Undertake compliance monitoring and testing, recording findings and agree necessary actions.
- Draft and issue formal monitoring reports to Management and the Board.
- Provide guidance and advice to staff to ensure promotions comply with regulations and treat customers fairly.
- Enhance the financial promotion approval framework in accordance with COBS 4 requirements.
- Assist in other compliance tasks and ad-hoc projects as required.
- Previous compliance monitoring and financial promotion experience, ideally at a similar retail broker
- Knowledge and experience of FCA regulations, including COBS and MiFID directives
- Be creative and identify solutions to any challenges that may arise.
- Good communicator
- Strong verbal skills
If you feel you, or anyone you know, have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Drake at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.