Senior Compliance Associate

4 weeks ago


London, UK, United Kingdom InterQuest Group Full time

InterQuest are delighted to be working with a leading FCA-regulated exchange, broker, and custodian for digital assets to help support with the recruitment of a Compliance Senior Associate.


**Office Based Role**


This role will be part of the Financial Promotions team and will focus on:

• Setting up and implementing the company's service to approve third-party financial promotions.

• Supporting the FCA application process to obtain the relevant approver permissions.

• Providing strategic input and expertise into the production of the company's proprietary marketing materials.


Responsibilities:

• To be one of the primary Compliance points of contact for all technical queries and regulatory matters relating to marketing, distribution and financial promotions.

• To help design and embed the firm’s third-party financial promotions approval service.

• To provide advice, guidance and training to the business in relation to current and emerging regulations in respect of product distribution and marketing, including cross border activities.

• To embed relevant workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials.

• To provide support, training and guidance to the business in regard to financial promotions.

• To assist in the development of management information to track marketing approvals and assess the effectiveness of producing quality documentation.

• To assist in the maintenance and revision of applicable policies and documents.

• To assist the Compliance monitoring team with periodic compliance monitoring reviews relevant to production of marketing materials.

• To assist the business with the preparation and compilation of regulatory reports and summaries to various committees of the Board and Senior Management, as required.


Experience Required:

• At least 3 years relevant experience, preferably gained in financial services or regulatory environment.

• Financial Promotions experience skills, knowledge and expertise.

• Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing knowledge desirable.

• Ability to drive change and develop relationships across all levels of the organisation.

• Strong written and verbal communication skills.

• Strong analytical skills including problem solving and solution-orientated thinking.

• Able to use initiative, work unsupervised and comfortable taking responsibility.

• Degree or relevant industry qualifications – desirable.



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