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Compliance Officer Financial Promotions

3 months ago

Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom eFinancialCareers Full time

What the Hiring Manager Says
"The Financial Promotion team perform vital functions for the network and your role would be essential in preventing consumers from being misinformed and protecting QFP from regulatory issues and reputational risk.
I am looking for a driven, team-oriented individual to join the Financial Promotions team.

Commitment to ensuring the team succeeds with all tasks and duties is essential but you will have full support from colleagues and management.

As part of the team, you will continue to develop and have lots of learning opportunities. Formal training/ mentoring will be provided.

As a manager, I believe in having a good and honest relationship with every member of my team and I'm committed to being supportive, emphatic, and fair".

Charlotte Botcherby, Financial Promotions Manager

About the Role

Job Title:
Financial Promotions Compliance Officer

Level: 2

Department:
Customer & Investment Operations (QFP)

Location:
Newcastle, Riverside

Contract type:
Permanent, Full-Time - Hybrid


As Financial Promotions Compliance Officer the main purpose of your role is to deliver regulatory oversight to Appointed Representative firms and Registered Individuals and to provide support to the review and approval of financial promotions, stationeryand other client facing materials in line with regulatory requirements and company standards.


You will be responsible for the approval of any client facing advertising or promotional material and company stationery, maintaining the standard of TCF and FCA requirement of 'clear, fair and not misleading'.

Always maintaining the agreed team StandardLevel Agreement (SLA) whilst offering help and assistance to all advisers wishing to gain approval for advertising material.


Additionally, you will maintain a high-quality level and remain up to date with the FCA rules and guidance relating to the role and ensure that the record keeping processes for the team remain robust and accurate, proactively identifying improvements wherepossible.


About You

Applications from people with diverse backgrounds enables our inclusive organisation to thrive. If you feel you don't match our job description exactly, why not take a chance on yourself and apply? You could be exactly what this role needs.


To be successful in this role, you will need either Level 3 or 4 Diploma qualifications in Financial Planning and some working experience of approving Financial Promotions in Retail Financial Services environment as well as broad, current knowledge of productfeatures in all market sectors, including up to date knowledge on regulated Consumer Credit and a good understanding of the regulator's approach to Financial Promotions.

You will also ideally need knowledge and understanding of Financial Services regulationand the Retail Distribution Review (RDR); Mortgage Market Review (MMR) and Mortgage Credit Directive.

It would be advantageous if you had worked in both IFA and Restricted environments but not essential.


You will be a good listener and have excellent influencing and communication skills, solving any issues in a friendly but purposeful manner.


The role will have high workloads at times so you will need to be comfortable with this and with reacting quickly, using your own initiative, and having the analytical skills to solve problems and follow process.

Our purpose is to help the generations today and tomorrow to prosper.

That means we must guide people through the complexity of planning for their future, with the right financial advice and investment solutions, so that they can have more secure financialfutures.


In this ever-changing world, we see that our role in society has never been more meaningful, and we are committed to using our expertise and care to guide our customers through these challenging and unprecedented times.

Our impressive talents and capabilities set us apart, but our unwavering commitment to our customers is what defines us.

We truly believe that we have all the ingredients to be the very best in our industry, and we want great people with the care and creativitythat we need, to help us get there.

We are passionate about building an inclusive culture where everyone's contribution is valued, and our people can thrive. No matter what your role is or where you sit, your voice will matter. We hope you like what you hear and are interested in learningmore about joining us.

Core Benefits

Holiday:26 days

Quilter Incentive Scheme:
All employees are eligible to participate in our incentive scheme, based on the company's performance and their contribution to it

Pension Scheme:10% non-contributory company pension scheme that can be boosted through personal contributions

  • Private Medical Insurance_:Single cover as standard, cover can be increased at your own cost

Life Assurance: 4x your salary, cover can be increased at your own cost

Income Protection: 75% of salary payable after 26 weeks of absence

**In addition to our core benefits we offer a range of flexible benefits that you can choose from and pay for conveniently via a salary deduction.