Compliance Officer (Financial Promotions)

Alexander Lloyd
London (Greater)
12 Apr 2018
14 May 2018
Contract Type
Full Time

Alexander Lloyd are currently recruiting for a Financial Promotions Compliance Officer to interview with a Wealth Management organisation who have a strong presence around the globe and currently hold around £500bn Assets under Management.

The Job

  • Review and approve financial promotions and market reviews and provide feedback and guidance
  • Act as primary contact for financial promotions
  • Maintain financial promotions policy
  • Maintain financial promotions register
  • Support compliance monitoring in relation to portfolio management, trading and AML
  • Assist with compliance queries; escalate more controversial and complex matters
  • Ensure that annual review requirements of regulatory requirements are carried out timely and accurately and that any remedial action is identified, reported and implemented.
  • Assist with Anti-Money Laundering and Data Protection queries

The ideal candidate will come from a similar background within Wealth Management and looking to take a step up. Our client is only looking for 2+ years' experience in Compliance with exposure to the Financial Promotions space.

Specialist/Technical Knowledge

  • Experience of reviewing and approving financial promotions
  • Relevant financial service experience, preferably in a private client investment management firm
  • Strong Microsoft office skills essential
  • Knowledge of the Wealth Management Industry
  • Knowledge of the Regulatory Financial environment (FCA rules) particularly rules relating to financial promotions
  • Investment and/or financial planning qualification preferred but not essential, must be willing to undertake ppropriate development
  • Knowledge of Anti-Money Laundering law and regulation
  • Knowledge of the Data Protection Act (1998) and associated requirements

Please quote (42742) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

This job was originally posted as

Similar jobs

Similar jobs