Compliance Advisory Associate

New Cross, UK
Closing date
22 Sep 2020

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Company DescriptionLawson Conner is a provider of outsourced compliance solutions and software that help businesses navigate regulatory infrastructure, reporting and risk requirements amidst variations in regulations under a global digital landscape. In 2018, it became part of IQ-EQ, the world's fourth-largest global investor services group (by revenue) that combines global expertise with a focus on client service delivery.

Job DescriptionBased in the London office, you will work alongside a Compliance Manager in an exciting and varying work environment. This role transcends a number of products and services across Asset Management, with a focus on reviewing Financial Promotions across a portfolio of newly engaged and existing Appointed Representatives for the Principal Firms within the Lawson Conner group of companies.

What Is An Appointed RepresentativeAn FCA Appointed Representative is a firm or individual that does not hold authorisation from the FCA but instead acts under the authority of an authorised firm's authorisation known as the principal firm.

Day-to-day As Compliance Advisory Associate
  • Review and approve marketing materials, including presentations, factsheets, brochures, web content, video and email marketing content in adherence with the FCAs rules and finalised guidance, covering Funds and other financial products and services.
  • Overseeing the set-up of financial products / services, in accordance with the Principal Firm's policies and procedures, and contributing to the Product Governance process for new products / services.
  • Responding to queries from Appointed Representatives and counterparties in relation to financial products / services and promotional activities.
  • Review policies and procedures, and reviewing root cause analysis of breaches and resolving breaches linked to Financial Promotions and Communications.
  • Developing training materials for internal staff and the Appointed Representatives.
  • A-level and Bachelors degree preferred (Economics, Law, Business), or equivalent professional experience
  • Strong communication skills, written and verbal
  • Demonstrable experience within an FCA regulated services firm, within a Compliance function reviewing and approving Financial Promotions.
  • Excellent client facing skills and interpersonal communication skills
  • Excellent user of Microsoft Office
  • Experience of working to tight deadlines
  • Strong organisational skills
  • Excellent communication skills both written and spoken
  • Desire to work in an dynamic, fast-growing company environment with blue-chip clients
Additional InformationAt IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.
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