A multinational Asset Manager and global investor headquartered in London is seeking an experienced Financial Promotions professional.
- Review and update existing compliance policies and procedures in line with relevant regulatory requirements and industry best practices
- Review UK and international materials and support the Approval of financial promotions across EMEA including ETFs, ICVCs and SICAV for a Retail and Investment Professional audience
- Conduct compliance training for team members relating to regulatory requirements and industry best practices to facilitate the creation and use of marketing materials.
- Establish processes to monitor and test compliance in line with policies and procedures
- Refine and prepare regular risk control assessments.
- Manage first line compliance process to ensure that customers are provided with clear information, before, during and after the point of sale.
- Work with internal stakeholders to ensure the team's procedures and associated Controls Self Certifications ("CSCs") are accurate and up to date; ensuring efficiencies found and implemented where possible.
- Strong regulatory knowledge including FCA COBS rules on Financial promotions MiFID II, UCITS IV, FUND, CASS, AIFMD, GDPR, KIID relevant rules.
- Previous experience of approving financial promotions for a financial services firm in UK, Europe and Asia for both retail and investments
- Experience raising challenges on content, presentation and process.
- Ability to analyse and assess the current state, identify gaps and develop plans for continuous improvement. Leading meetings, communicating succinctly with senior stakeholders and influencing.
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Anna Dune 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.