Compliance Manager / Marketing & Distribution recruitment
Our client, a global financial institution is looking for a compliance manager to provide guidance and support to their private banking business. The individual would help in identifying and mitigating risks across the business and help promote a proactive regulatory culture and protect the reputation of the firm. Duties Include:
• Support Senior Management to ensure the business meets its regulatory requirements.
• To review and sign-off on all client pitches and other financial promotions.
• Conduct training for the private banking businesses in relation to financial promotions.
• Provide a robust regulatory oversight over all compliance matters in regards to financial promotions.
• Proactively assist management in identifying and containing compliance risk with regards to Financial Promotions.
• Provide compliance support for the marketing approvals system and support marketing training initiatives.
• Provide guidance for global marketing such as global brochures, pitch books and brand advertising campaigns.
• Provide guidance, advice and interpretation regarding compliance issues to the business
• Participate in meetings with the business to provide compliance advice on various issues.
The preferred candidate will ideally have a private banking, wealth management or securities background and demonstrate a strong understanding of the FSA’s financial promotions regime. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.