Financial Promotions Compliance Manager

5 months ago


London, United Kingdom Royal London Full time

Job Title: Financial Promotions and Compliance Manager

Contract Type: Permanent

Location: London

Working style: Hybrid 50% home/office based

Closing date: 19th August 2024

We are currently looking for a Financial Promotions and Compliance Manager to join the Royal London Asset Management (RLAM) Client Group on a permanent basis.

The Financial Promotions Compliance Manager will provide support to the Client Group team by ensuring that financial promotions, regulatory customer communications, fund literature, customer journeys and other marketing collateral meet required regulatory standards. These tasks form part of the business risk function to enable the business to continue deliver good customer outcomes.

You will collaborate with other teams across the Client Group and Compliance to ensure regulatory adherence. You will also collaborate with a sister role within Royal London Group to ensure the procedural framework remains robust and is consistently applied in both teams.

This is an exciting opportunity to join RLAM as we are entering a new chapter of growth and international expansion. If you have customer communications and financial promotions experience within financial investment sector, we would love to hear from you

About the role

Produce financial promotions, regulatory customer communications, fund literature, customer journeys and other marketing collateral and ensure that they meet the requirement to be clear, fair, and not misleading. Maintain a process to verify compliance with relevant financial promotion & regulatory requirements for the UK & international markets. Review and update existing financial promotions procedures. Ensure good governance over marketing publications and fund literature incl. administering the approval system. Provide advisory support to colleagues. Prepare and conduct training for team members relating to regulatory requirements and industry best practices. Recognise risks in the financial promotions production process and work collaboratively within the wider business to address them adequately. Ensure compliance with Consumer Duty and SDR accountabilities.

About you

Knowledge of financial services sector, with experience within investment management or banking sector 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, SDR, anti-greenwashing and other relevant rules. Knowledge of the marketing and product governance frameworks.

About Royal London Asset Management

part of the Royal London Group, is one of the UK's leading fund management companies working with a wide range of clients across the globe to achieve their investment goals. Our long-term, client-driven focus means that we have a long-standing commitment to responsible investment. We act as responsible stewards of our clients’ capital, exercising their rights and influencing positive change.

Our to our colleagues is that we will all work somewhere inclusive, responsible, enjoyable and fulfilling. This is underpinned by our Spirit of Royal London values; Empowered, Trustworthy, Collaborate, Achieve. 

We've always been proud to reward employees by offering great workplace benefits such as 28 days annual leave in addition to bank holidays, an up to 14% employer matching pension scheme and private medical insurance. You can see all our benefits here -

Inclusion, diversity and belonging  

We’re an employer. We celebrate and value different backgrounds and cultures across Royal London. Our diverse people and perspectives give us a range of skills which are recognised and respected – whatever their background. 


  • Financial Promotions

    6 months ago


    London, United Kingdom Rothstein Recruitment Full time

    Rothstein Recruitment London, United KingdomPosted 3 hours ago Hybrid Permanent £60k Financial Promotions - Compliance - Crypto Excellent opportunity for intelligent and pasisonate idivdual to make theit mark in a f**ully FCA Regulated FinTech Crypto/Digital Assets Environment.** **The role** This role will be part of our Financial Promotions team and...

  • Compliance Manager

    3 days ago


    London, Greater London, United Kingdom Compliance Professionals Full time

    As a Compliance Officer at Compliance Professionals, you will oversee compliance within the Marketing & Distribution department. Your primary focus will be on ensuring all financial promotions, marketing materials, client reports, RFPs, and other client communications comply with regulatory standards.Main Responsibilities:Review and approve financial...


  • London, United Kingdom Financial Conduct Authority Full time

    Financial Promotions Administrator **Salary**: National ranging from £30,600-£37,800 and London from £31,900-£42,000 - Are you interested in joining a specialist team responsible for the identification and mitigation of risk associated with financial advertising?_ The aim of the Financial Promotions Team is to reduce harm to consumers caused by them...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Role SummaryWe are seeking an experienced Compliance Executive to join our team at Compliance Professionals. The successful candidate will have a strong background in compliance monitoring and reporting, with experience in reviewing marketing and financial promotions.The ideal candidate will be responsible for overseeing breaches, errors, and complaints, as...


  • London, United Kingdom Compliance Professionals Full time

    THE COMPANY:We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Act as an escalation point for financial crime compliance queriesWork with the DMLRO to ensure staff in the Bank receive a...


  • London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Act as an escalation point for financial crime compliance queriesWork with the DMLRO to ensure staff in the Bank receive a...


  • London, United Kingdom Compliance Professionals Full time

    THE COMPANY:We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Act as an escalation point for financial crime compliance queriesWork with the DMLRO to ensure staff in the Bank receive a...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:We are seeking an experienced Financial Services Compliance Manager to join our team at Compliance Professionals.The ideal candidate will have a strong background in training and competence, with a proven track record of delivering high-quality compliance solutions in the wealth management sector.Key Responsibilities:Lead the development and...

  • Compliance Officer

    7 months ago


    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client offers a trading in prime digital assets, forex, and CFDs. By providing a interface for trading these diverse assets, our client aims to provide flexibility for traders, enabling them to navigate the dynamic global financial markets efficiently **THE RESPONSIBILITIES**: - Manage and oversight of the client onboarding process and...


  • London, United Kingdom Compliance Professionals Full time

    Job DescriptionTHE COMPANY:We have been instructed by an international corporate & specialist finance bank who has their European hub in London. They provide a range of corporate banking, transactional and real estate services. THE RESPONSIBILITIES:Act as an escalation point for financial crime compliance queriesWork with the DMLRO to ensure staff in the...


  • London, United Kingdom A&M STAR (Search, Talent Acquisition & RPO) Full time

    A leading funds regulatory practice is currently looking for an associate of between 1-5PQE to join their market leading team. The firm have a specific asset management focus and are seen by their clients as the 'go-to' Counsel on their most complex matters. The London team helps global asset managers navigate European financial services regulations. With...


  • London, United Kingdom A&M STAR (Search, Talent Acquisition & RPO) Full time

    A leading funds regulatory practice is currently looking for an associate of between 1-5PQE to join their market leading team. The firm have a specific asset management focus and are seen by their clients as the 'go-to' Counsel on their most complex matters. The London team helps global asset managers navigate European financial services regulations. With...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Compliance Risk ManagerEstimated Salary: £60,000 - £80,000 per annum.About the Role:We are seeking a seasoned Compliance Risk Manager to join our team at Compliance Professionals. As a key member of our compliance department, you will be responsible for managing compliance risks associated with our business operations.The ideal candidate will...

  • Compliance Associate

    6 months ago


    London, United Kingdom Compliance Professionals Full time

    **THE COMPANY**: Our client is a successful open-end investment fund based in the City. They are looking for a Compliance generalist with a development path to support the objectives and activities of the Compliance team. **THE RESPONSIBILITIES**: - Performing, supporting & enhancing monitoring and surveillance activities. - Managing, supporting and...

  • Compliance Officer

    2 days ago


    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking an experienced Compliance Executive to join our team at Compliance Professionals. The ideal candidate will have a strong background in compliance monitoring and reporting, with experience in reviewing marketing and financial promotions.The successful candidate will be responsible for overseeing breaches, errors, and complaints,...

  • Compliance Officer

    1 month ago


    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionA career opportunity has arisen for an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in financial services, preferably in investment and life protection.About the RoleWe are seeking a highly motivated individual to oversee the compliance function within our...


  • London, Greater London, United Kingdom ZipRecruiter Full time

    Job Title: Financial Promotion SpecialistLocation: LONDONSalary: £500-£600 per dayWe are seeking an experienced Financial Promotion Specialist to join our team at ZipRecruiter. The successful candidate will be responsible for providing technical compliance guidance on Investment Management solutions.This is a contract role for 6 months, paid on a daily...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled Sanctions Control Professional to join our team on a 12-month fixed-term contract basis.The ideal candidate will have a strong background in financial crime compliance, with at least 3 years of experience in a similar role within the UK's Private Banking or Wealth Management sector.You will be responsible for...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is a leading international banking group based in the City, looking for an experienced Financial Compliance Specialist to join their team on a contract basis.Job Description:The ideal candidate will have a strong background in administration and finance/accounting, with experience working in end-to-end payroll. Key responsibilities...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Job OverviewWe are recruiting for a Compliance Executive to join our team at Compliance Professionals. The successful candidate will have a strong background in compliance monitoring and reporting, with experience in reviewing marketing and financial promotions.The ideal candidate will be responsible for overseeing breaches, errors, and complaints, as well...