Regulatory Compliance Consultant Financial
1 week ago
We currently have an excellent opportunity with one of the world's largest financial service organisations, who are looking to recruit a Regulatory Compliance Consultant to join their Marketing Communications Compliance function within the Product and Governanceteam.
You will be required to ensure that material issued to customers is clear, fair and not misleading to meet our clients regulatory obligations and to allow customers to make informed choices about products and services.
Key responsibilities will include, but are not limited to:
- Quality Sample material approved by accredited members of the marketing teams (and those seeking accreditation) to ensure the material meets regulatory rules/guidance and company standards/policies
- Undertake accreditation checks for those seeking accreditation to ensure assets are fully compliant and internal process and procedures are being followed
- Basic training for those seeking accreditation to increase their knowledge and understanding of the rules and guidance issued by the FCA on financial promotions
- Review and approve pre-sale product disclosure documentation and customer facing financial promotions.
- Provide customer focused, professional, creative and pragmatic advice and guidance to Marketing staff in relation to financial promotions
- Maintain and continue to develop a thorough knowledge of all relevant product, regulatory requirements, UK legislation, industry guidance and compliance policy
- Understand the department operating procedures and follow these when undertaking relevant tasks
Key skills and experience we are looking for:
- Excellent communications skills, a strong attention to detail and good problem solving skills
- Strong organisational skills, with an ability to meet challenging deadlines.
- A strong understanding/ knowledge of customer information needs and the need to tailor communications to the customer
- A strong understanding/ knowledge of FCA handbook of principles, rules and guidance (scope and structure)
- Experience in existing regulatory and industry compliance and/or marketing advertising knowledge
- Educated to at least A-level standard (or equivalent) with good level of English
- A strong knowledge/understanding of how to recognise and report breaches of the financial promotion rules in accordance with procedures
Sound like you? If so, we'd love to discuss in more detail
Please get in touch with
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