Compliance Officer, Financial Promotions

Compliance Officer Financial PromotionsAbout the Role:We are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. As a key member of our compliance team, you will be responsible for ensuring that our financial promotions are compliant with regulatory requirements.Key Responsibilities:Monitor investment guidelines for...

Compliance Officer Financial PromotionsOur client is a global asset manager, providing investment advice to institutional and individual investors around the world.Monitoring investment guidelines for UCITS funds/segregated mandates using the Charles River system, including reviews of investment guidelines/restrictions for new accounts/products.Liaising with...

About the Role:We are seeking a highly skilled Compliance Officer - Financial Promotions to join our team. The ideal candidate will have a strong background in generalist compliance and experience working in the financial services sector. A financial services background is essential, with asset management exposure being a plus.Key Responsibilities:Monitoring...

Key ResponsibilitiesAs a Compliance Expert in Financial Promotions, you will be responsible for ensuring that all financial promotions comply with the relevant regulations and guidelines.Key responsibilities include:Providing guidance and support to the team on financial promotions compliance;Reviewing and approving financial promotions materials to ensure...

Key ResponsibilitiesAs a Financial Promotions Compliance Manager at Eximius Finance, you will be responsible for ensuring that all financial promotions comply with relevant regulations, including FCA COBS Regulations, AIFMD, and UCITS. Your expertise will be crucial in developing and implementing effective compliance strategies to mitigate risks and ensure...

Job Summary:We are seeking a Compliance Officer to join our EMEA & LatAm Compliance Team in our London office. The team provides compliance advice and support to all levels of staff, including senior managers, fund managers, and product development teams. The successful candidate will be responsible for reviewing and approving financial promotions, client...

Job Summary:We are seeking a Compliance Officer to join our EMEA & LatAm Compliance Team. The team provides compliance advice and support to all levels of staff, including senior managers, fund managers, and product development teams. The successful candidate will be responsible for reviewing and approving financial promotions, client reports, and other...

Job Summary:We are seeking a Compliance Officer to join our EMEA & LatAm Compliance Team at Neuberger Berman. The successful candidate will be responsible for providing compliance advice and support to various teams within the organization, including senior managers, fund managers, and marketing teams.Key Responsibilities:Review and approve financial...

Job Summary:We are seeking a Compliance Officer to join our EMEA & LatAm Compliance Team at Neuberger Berman. The successful candidate will be responsible for providing compliance advice and support to various teams within the organization, including senior managers, fund managers, and marketing teams.Key Responsibilities:Review and approve financial...

Compliance OfficerWe are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. As a Compliance Officer, you will be responsible for ensuring our company's compliance with regulatory requirements and industry standards.Key Responsibilities:Own, maintain, develop and review compliance policies, advising management on...

About the Role:Compliance Professionals seeks a skilled Compliance Officer - Financial Markets to join our team. The ideal candidate will have experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling or banking environment.Key Responsibilities:Develop and implement daily alert review and escalation processes for MAR...

Gresham Hunt is partnered with a global asset management firm to find a new Advisory Compliance Officer who can provide regulatory guidance on MiFID and FCA topics.Key ResponsibilitiesCollaborate with senior business stakeholders to provide compliance advice and ensure regulatory compliance.Conduct horizon scanning activities to stay up-to-date on regulatory...

Compliance Executive Job DescriptionWe are seeking a highly skilled Compliance Executive to join our team at Compliance Professionals. The successful candidate will be responsible for managing and overseeing the compliance department, providing advice as necessary, and ensuring the company meets reporting requirements under FCA, MiFID, and EMIR rules.Key...

Compliance Executive Job DescriptionWe are seeking a highly skilled Compliance Executive to join our team at Compliance Professionals. The successful candidate will be responsible for managing and overseeing the compliance department, providing advice as necessary, and ensuring the company meets reporting requirements under FCA, MiFID, and EMIR rules.Key...

OverviewSMBR seeks a trusted partner for long-term growth in financial advisory. As a Senior Compliance Officer, you will play a key role in providing advice and guidance on financial crime compliance, managing service provision, and supporting the development of regional strategies.

Job Title: Chief Compliance OfficerOur client, a leading international banking organization, is seeking a highly skilled Chief Compliance Officer to join their team on a permanent basis.Key Responsibilities:Ensure all managers fulfill their responsibilities and oversee the implementation of compliance policies and procedures.Develop and maintain policies and...

Key ResponsibilitiesWe are seeking a highly skilled Financial Promotions Compliance Manager to join our team at Eximius Finance.Key Accountabilities:Develop and maintain in-depth knowledge of FCA COBS Regulations, AIFMD, and UCITS to ensure compliance with financial promotions.Collaborate with cross-functional teams to design and implement effective...

Key ResponsibilitiesWe are seeking a highly skilled Financial Promotions Compliance Manager to join our team at Eximius Finance.Key Accountabilities:Develop and maintain in-depth knowledge of FCA COBS Regulations, AIFMD, and UCITS to ensure compliance with financial promotions.Collaborate with cross-functional teams to design and implement effective...

Financial Promotions Analyst Job DescriptionAbout the Role:We are seeking a highly skilled Financial Promotions Analyst to join our Marketing team at Direct Line Group. As a key member of our team, you will be responsible for ensuring all advertising and customer communications meet legal and regulatory requirements, including FCA financial promotion rules,...

About the RoleWe are seeking a Financial Promotions Compliance Manager to join our team at Royal London Asset Management. The successful candidate will be responsible for ensuring that financial promotions, regulatory customer communications, fund literature, customer journeys, and other marketing collateral meet required regulatory standards.The ideal...