Financial Promotions Compliance Specialist

5 days ago

London, Greater London, United Kingdom Royal London Full time

About the Role

We are seeking a highly skilled Financial Promotions Compliance Specialist to join our team at Royal London Asset Management. As a key member of our Client Group, you will play a crucial role in ensuring that our financial promotions, regulatory customer communications, and marketing collateral meet the highest standards of regulatory compliance.

Key Responsibilities

  • Develop and implement financial promotions and regulatory customer communications that are clear, fair, and not misleading.
  • Maintain a robust process for verifying compliance with relevant financial promotion and regulatory requirements for the UK and international markets.
  • Review and update existing financial promotions procedures to ensure they remain effective and compliant.
  • Ensure good governance over marketing publications and fund literature, including administering the approval system.
  • Provide advisory support to colleagues and conduct training on regulatory requirements and industry best practices.
  • Identify and mitigate risks in the financial promotions production process, working collaboratively with the wider business to address them.
  • Ensure compliance with Consumer Duty and SDR accountabilities.

About You

To be successful in this role, you will have:

Knowledge of the financial services sector, with experience in investment management or banking.Previous experience of approving financial promotions/advertising in the UK and/or Europe, gained either as part of the Compliance or Marketing role.Good regulatory knowledge, including FCA COBS rules on financial promotions, MiFID II, UCITS IV, FUND, CASS, AIFMD, GDPR, KIID, and PRIIPS KID.Knowledge of the marketing and product governance frameworks.

About Royal London Asset Management

Royal London Asset Management is a leading fund management company, working with clients across the globe to achieve their investment goals. We are committed to responsible investment and act as responsible stewards of our clients' capital, exercising their rights and influencing positive change.

We value diversity and inclusion, and we are committed to creating a workplace that is inclusive, responsible, enjoyable, and fulfilling. Our Spirit of Royal London values are Empowered, Trustworthy, Collaborate, and Achieve.

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