National Financial Services Firm Financial Promotions Compliance Manager London £55 - £70k
FourthLine are currently engaged with a well- renowned and dynamic consultancy who are looking to add to their compliance team based in central London. We are looking to identify a Financial Promotions Compliance Manager who has the resilience to be able to approach Senior Stakeholders in an appropriate manner when identifying any breaches. The position is an excellent opportunity for a candidate with at least 2 years’ experience of Financial Promotions Compliance.
Position: Financial Promotions Compliance Manager
Location: Central London
- Approval of marketing material for the website and corporate company brochures.
- Review and approve all Due Diligence Questionnaires
- Supervision of one assistant, ensuring development training and promoting career development opportunities.
- Organise monthly management data for Group Risk on volumes and types of financial promotions reviewed and approved.
- Identify and report breaches and incidents to the COBS Compliance team to be logged promptly.
1. 2 years’ experience approving Financial Promotions.
2. Experience within the Investment / Asset Management or Investment Banking sector is essential.
3. Relevant knowledge of FCA Financial Promotions sourcebooks.
4. Gravitas to be firm and fair when approaching Senior Stakeholders over any breaches.
My client is looking to conduct 1st stage interviews within the next 7 days.
If this role is of interest, please send an up to date copy of your CV to Colum Conway to arrange a time to discuss in more detail. A full job description is available following an initial call. My contact details are below should you prefer to have an informal discussion regarding the opportunity prior to application.