Compliance Consultant - Financial Promotions - Hertfordshire

Compliance and Risk
Ref: 546 Date Posted: Wednesday 12 May 2021
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Our client is a leading Investment Platform for private investors, putting the customer at the heart of everything they do, which includes helping them make the right investment decision. An opportunity has arisen for an Compliance Consultant - Financial Promotions. We are seeking an enthusiastic individual to provide high quality support to our clients Compliance function. Flexible working arrangements are available for this important role.

As well as promoting a culture of compliance throughout the firm, your key duties will include the review and approval of financial promotions, regulatory horizon scanning, using your expertise to support change initiatives and projects and supporting in the delivery of a risk-based compliance monitoring plan. You’ll also have responsibility developing and maintaining compliance policies and procedures, identifying areas of weakness and suggesting improvements.

About you.

From experience of working within the Compliance department of a regulated financial services business, you will understand FCA regulation in relation to the distribution of investments and be familiar with the relevant parts of the FCA handbook as they apply to a direct-to-consumer investment platform business. Experience of financial promotions review, and approval is essential.

You’ll need to be proactive in acquiring knowledge from within the business and we’re looking for someone who can learn quickly, with a strong attention to detail and who is confident working on their own initiative. You’ll need strong communication and influencing skills as well as the ability to analyse complex issues and come up with sound recommendations for consideration.

To be a successful Compliance Consultant - Financial Promotions, you will have the following skills and experiences:

  • Experience of working within a Compliance function for a retail financial services business is essential.
  • An in depth understanding of FCA regulation and familiarity with the relevant parts of the FCA handbook as they apply to a direct-to-consumer investment platform business. In particular, familiarity with the requirements of SYSC and COBS and those relating to MiFID II is essential.
  • Knowledge or experience of BCOBS or working in retail banking compliance is desirable.
  • Proven ability to interpret regulations and associated law.
  • Proven experience of reviewing and approving financial promotions and other customer facing materials is essential.
  • Proven ability to remain up to date with regulatory changes.
  • Proven ability to summarise complex information in a manner that is easily understood.
  • Ability to produce high quality written reports which are tailored to the intended audience.
  • Ability to interpret and to work with data.
  • Ability to work on own initiative.
  • Confidence in communicating with staff and stakeholders at all levels.
  • Experience working with marketing departments and/or a business with a direct-to-consumer proposition is desirable.
  • Industry recognised qualification desirable (e.g. CISI, CII or ICA diploma).

For the right candidate, our client can offer a very competitive salary along with a range of other benefits. If you’re looking for a challenge and are interested in working within an exciting and fast-moving business that puts the customer first, we want to hear from you.