An exciting opportunity has arisen for a motivated and committed compliance professional to Join our Compliance team.
The Compliance Monitoring Analyst will be a trusted point of control and judgement within the business and will have ownership of a core compliance responsibility.
The role will be responsible for the review and approval of financial promotions and other external‑facing communications, alongside the delivery of the firms compliance Monitoring Programme.
This role will allow the individual to broaden their regulatory knowledge and practical experience across the compliance lifecycle.
Key Responsibilities
• Review and approve financial promotions, marketing materials and other communications to clients and external distributors, ensuring that all materials comply with applicable regulatory requirements and internal policies and are clear, fair and not misleading
• Work closely with relevant teams, including Marketing and Product, to ensure that promotional strategies are compliant and that all external facing collateral is factually accurate, appropriately maintained and subject to ongoing review and approval, and that communications sign-off is actioned in a timely and robust manner
• Maintain accurate and auditable records of all reviewed and approved materials
• Build and maintain a strong working relationship with the Product team to ensure a sound understanding of product and service features
Assist with streamlining compliance processes, leveraging AI
• Supporting ad‑hoc compliance queries from the business