Senior Marketing Compliance Officer - Investment Management

InterQuest Solutions
11 Feb 2018
16 Mar 2018
Contract Type
Full Time

Senior Marketing Compliance Officer - Investment Management
12 month contract - FTC or Day rate
£ Competitive

InterQuest Solutions are delighted to working with one of our key financial clients an investment management specialist, supporting with the recruitment of a Senior Compliance Officer based out of their Henley offices, with travel to London

Ideal candidates will have a proven background working in Marketing Compliance within investment management. This role will be predominantly dealing with UK clients but will also interact with colleagues or clients in the EMEA region so global experience would be beneficial.

Duties & Responsibilities
- Responsible for the day-to-day review and approval of financial promotions
- Providing compliance advice and support to the business and management
- Interacting with members of the core compliance services team to assess, document, monitor, report, develop, coordinate, and implement various improvements to compliance marketing activities
- Leading project team(s) in the development and implementation of strategic projects related to compliance
- Independently evaluate situations, make decisions and solve problems. Escalate issues to management if needed
- Examining rule changes and discussing implications with the UK marketing compliance team, and the wider business
- Producing and updating marketing compliance policies and procedures at the direction of the Compliance Manager

Skills & Experience
- Ideal candidates will have proven experience of working in Marketing Compliance within investment management with a detailed knowledge of financial products and services
- Candidates will be highly experienced in the review of financial promotions and provision of distribution advice
- Experience and exposure to operational risk management procedures and processes would be highly desirable
- Excellent understanding of the FCA conduct of business rules, essential
- Effective communicator and able to build relationships with key stakeholders with ease

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