Marketing Compliance Manager

2 weeks ago


London UK, UK, United Kingdom BWD Search & Selection Full time

We are seeking an experienced Marketing Compliance Manager to join our team within a leading investment management firm based in London.


Role Overview:


As the Marketing Compliance Manager, you will play a crucial role in ensuring that all marketing materials, including financial promotions, fund documentation, and overall client engagement materials, comply with the relevant regulatory standards. Your work will be instrumental in supporting the business’s commitment to delivering positive outcomes for customers.

You will work closely with teams across the company to ensure compliance with regulatory requirements. In addition, you will collaborate with a counterpart in another division to maintain a robust procedural framework that is consistently applied across both teams.

This is a fantastic opportunity to join the firm during an exciting period of growth and expansion. If you have experience in financial promotions within the financial services industry, we want to hear from you



Key Responsibilities


  • Develop and review marketing materials to ensure they meet regulatory standards for clarity, fairness, and accuracy.
  • Manage the compliance process for financial promotions and other customer-facing communications in both UK and international markets.
  • Review and enhance existing procedures related to financial promotions.
  • Oversee governance of marketing publications and fund documentation, including managing the approval process.
  • Provide regulatory advice and training to colleagues to ensure best practices are followed.
  • Identify and mitigate risks associated with the production of financial promotions.
  • Ensure alignment with Consumer Duty and Sustainable Disclosure Requirements (SDR).



Candidate Profile



  • Solid understanding of the financial services industry, particularly within investment management or banking.
  • Experience in approving financial promotions or marketing materials, with a strong grasp of UK and European regulatory environments.
  • Thorough knowledge of relevant regulations including FCA COBS, MiFID II, UCITS IV, FUND, CASS, AIFMD, GDPR, PRIIPS KID, SDR, and anti-greenwashing standards.
  • Familiarity with marketing and product governance frameworks.


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