Senior Compliance Executive
Overview
This is a fantastic opportunity for an experienced Compliance professional, with at least 3-5 years experience in Financial Promotions, to join a forward thinking organisation.
Key experience
- Providing regulatory advice to the asset management business on the preparation and marketing of financial promotions and providing compliance approval within the marketing approval process.
- Analysing the impact of new regulations to assist the business in its preparation for regulatory changes.
- Approving financial promotions, ensuring adherence to regulations in all relevant jurisdictions
- Providing compliance advice and support to the business and management
- Managing the production of monthly compliance reports to senior management in the UK and internationally.
- Examining rule changes and discussing implications for the business with Team Manager, Senior Compliance Executives and the Director of European Compliance
- Providing compliance / regulatory input into monitoring programmes
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Technical Skills Qualifications Required
- Significant experience in the review of financial promotions
- Experience of the financial promotion regime in the UK and, ideally, Europe
- Previous experience in a compliance marketing role either within Legal or Compliance Department or within a regulator in relation to asset management products and services.
- Detailed knowledge of UCITS funds, Investment Trusts, ETF’s, ISA’s, alternatives, complex instructions and private placement regimes
- A detailed understanding of the FSA conduct of business rules
- A good understanding of the technical nature of the business and of marketing activities in the financial services sector
- Strong verbal and written communication skills, able to interact confidently with senior management
- Professional qualifications are desirable although those ‘qualified by experience’ will be equally considered
- Effective time management skills
- Excellent interpersonal skills
- Highly organised
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