Regulatory Compliance Expert

15 hours ago


London, Greater London, United Kingdom Compliance Professionals Full time

About the Role:

We are seeking a skilled Compliance Officer to join our team at Compliance Professionals. As a key member of our compliance department, you will be responsible for ensuring that our marketing and distribution activities comply with regulatory requirements.

Job Description:

  1. Review and Approve Financial Promotions: You will review and approve financial promotions, marketing materials, client reports, RFPs, and other client communications to ensure they meet regulatory standards.
  2. Provide Regulatory Guidance: You will provide advice and guidance to client coverage, product, and marketing teams on regulatory matters and cross-border distribution rules.
  3. Prepare Compliance Reports: You will prepare internal compliance reports for the Board and Committees.
  4. Create and Review Compliance Policies: You will create new and review existing compliance policies and procedures to ensure they remain effective.
  5. Deliver Compliance Training: You will prepare and deliver compliance training to relevant staff members.
  6. Monitor Marketing Activities: You will monitor our marketing and distribution activities on a regular basis to ensure they remain compliant.
  7. Assist with Regulatory Reports: You will assist with the preparation and filing of regulatory reports.
  8. Participate in Business Initiatives: You will participate in business initiatives and regulatory projects as delegated by the manager.

About You:

To succeed in this role, you will need to have 5+ years of experience in an asset management compliance role. You must also have knowledge of the UK and European regulatory framework, particularly the FCA and ESMA rules, or similar relevant experience with marketing and cross-border distribution rules.



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