Compliance Officer - Financial Promotions

Pimlico, UK
22 Aug 2019
27 Aug 2019
Contract Type
Full Time
Compliance Officer - Financial Promotions

Reed Banking and Financial Services are recruiting for a Compliance Officer for an Investment Management firm based in Pimlico. This is a full time permanent position.

The main purpose of this role is to make sure that the organisation is compliant with laws and regulations, and that all reputational risk is managed accordingly.

Key duties:
  • Providing guidance around, reviewing and approving financial promotions and customer facing documents, ensuring they meet internal regulations and procedures
  • Reviewing financial promotions and marketing material, and ensuring the appropriate legislative and regulatory rules are met
  • Reviewing other customer and corporate communications material, including product brochures
  • Making sure that best practice is embedded around financial promotions across the business
  • Onboarding new clients
  • Managing responses to Freedom of Information (FOI) requests
  • Providing advice and guidance to the internal complaints team, on complex customer complaints and policy interpretation
  • Providing advice and guidance on regulatory rules, internal regulations, and legal issues
  • Drafting Explanatory Memorandums and Submissions, when raising Statutory Instruments
  • Work closely with data protection and quality managers' ensuring that guidance to the business is appropriate in respect of T&C's, product brochures and financial promotions

Your experience:
  • In-depth understanding of rules, regulations, codes of practice, and guidance relating to financial services advertising and customer communications
  • Good knowledge of the FCA's Conduct of Business and Treating Customers Fairly rules, and the OFT guidance on unfair contract terms and ASA codes of conduct for advertising
  • Broad knowledge of legal and regulatory matters in relation to the General Data Protection Regulations and the UK Data Protection Act, Freedom of Information Act, Money Laundering Regulations and the BCOBs

Salary: up to £43,000 per annum, with an excellent benefits package.

Please get in touch with Reed Banking, and ask for Olivia, Ruth or Libin by calling or email

Similar jobs

Similar jobs