Financial Promotions Compliance Specialist

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...

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...

Financial Crime Compliance SpecialistWe are seeking a highly skilled Financial Crime Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for performing compliance controls on the activity of the Company according to the Company's Financial Crime CMP.Key Responsibilities:Implement and update the...

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...

**About Compliance Professionals**We are a reputable brokerage firm based in the City, seeking a highly skilled Financial Markets Compliance Specialist to join our team on an FTC basis.**Estimated Salary:** £60,000 - £80,000 per annum, depending on experience**Job Description:**Key ResponsibilitiesMonitor and address market surveillance alerts and...

Financial Promotions SpecialistAt Direct Line Group, we're seeking a skilled Financial Promotions Specialist to join our Marketing and Customer Communications team. As a key member of our team, you will be responsible for ensuring all advertising and customer communications across our diverse brands meet legal and regulatory requirements.Key...

About the BusinessQuilter Cheviot is a leading wealth management firm with a rich history spanning over 250 years. As a subsidiary of Quilter plc, a listed company on the London and Johannesburg stock exchanges, we offer expert discretionary investment management and financial advice to private clients, charities, trustees, and professional partners. Our...

Job Title: Compliance Director - Financial Crime SpecialistJob Summary:We are seeking a highly skilled Compliance Director to join our team at Compliance Professionals. The successful candidate will be responsible for expanding and developing our financial crime programme within the region.Key Responsibilities:Work within the region to expand and develop the...

Job TitleCompliance Director - Financial Crime SpecialistCompany OverviewOur client is a leading global investment management business with offices in the West End. We have been exclusively instructed to assist with their hire of a Compliance Director on a 13-month fixed-term contract.About the RoleThe Compliance Director will work within the region to...

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...

Role OverviewDirect Line Group is seeking a highly skilled Financial Promotions Specialist to join our Marketing and Customer Communications team.This exciting opportunity will involve reviewing, providing guidance, and signing off financial promotions and other customer communications to ensure compliance with legal and regulatory requirements.Key...

About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team at Compliance Professionals.Job SummaryThe ideal candidate will have at least 5 years' experience in Compliance or Operations within financial services, preferably fund management and/or discretionary management environment. Strong appreciation of Compliance and...

About the RoleAs a key member of our team, you will be responsible for producing financial promotions, regulatory customer communications, fund literature, customer journeys, and other marketing collateral that meet required regulatory standards.You will collaborate with cross-functional teams to ensure compliance with relevant financial promotion and...

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 Title: Senior Compliance SpecialistWe are seeking a highly skilled Senior Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for providing management information and attending relevant internal meetings, responding to queries from across the business relating to SMCR matters, advising business...

About the BusinessQuilter Cheviot, a leading wealth management firm, has been serving individuals and families for over 250 years. As one of the UK's largest wealth management firms, we offer expert discretionary investment management and financial advice through our sister company, Quilter Cheviot Financial Planning. We provide a highly personalised service...

Financial Crime Compliance ProfessionalOur client, a prominent banking firm with a strong global presence in wholesale and capital markets, is seeking an experienced Compliance Professional to join their team.As a key member of the compliance department, you will play a crucial role in ensuring the bank's adherence to financial crime regulations and...

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...

Job SummaryWe are seeking a skilled Risk Management Specialist to join our EMEA & LatAm Compliance Team at Neuberger Berman Group LLC. The successful candidate will be responsible for reviewing and approving financial promotions, client reports, and other client communications to ensure compliance with applicable rules and internal guidelines.Main...

Compliance ManagerThe Compliance Professionals are seeking a highly skilled Regulatory Compliance Specialist to join their London-based compliance team. This is a challenging and rewarding role that requires strong knowledge of regulatory requirements and compliance best practices.About the Role:This position plays a crucial role in ensuring adherence to...