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Job Specification

Compliance Analyst - Financial Promotions Experience Required

£30K - £35K + Benefits & Bonus | City
Ref: 3473J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our Client, a leading Private Wealth Management firm is looking to recruit a Financial Promotions Compliance Officer, to review and approve financial promotions & market reviews, provide feedback &  guidance to the business and get involved in other areas too. Duties include
 
• Act as the primary contact for financial promotions
• Maintain financial promotions policy and register
• Support compliance monitoring in relation to portfolio management, trading and AML
• Assist with compliance queries, escalate more controversial and complex matters
• Assist with AML and Data Protection queries
• Complete ad-hoc projects/reports as and when required
 
The ideal candidate should have some experience of reviewing and approving financial promotions from a financial services firm with a good knowledge of the relevant FCA rules. Great opportunity to use this experience then broaden it into other areas with full cross training provided.
 
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com

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