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Compliance Officer - Financial Promotions

  • Location

    Home Based

  • Sector:

    Regulatory, Risk & Compliance

  • Job type:


  • Salary:

    £40000 - £60000 per annum, Benefits: Pension & Benefits Package

  • Contact:

    Joanne McPherson

  • Contact email:


  • Contact phone:

    0113 274 3000

  • Job ref:


  • Published:

    11 months ago

  • Duration:


  • Expiry date:


  • Startdate:


  • Consultant:


Compliance opportunity with a bias for Financial Promotions - option for home or office working - excellent salary and benefits package.

I am currently looking to engage with Compliance Professionals with a bias for Financial Promotions. You will be highly regarded as a key Subject Matter Expert from an FP perspective and will also be a well-rounded compliance specialist offering technical support to your peers and the adviser community.

The core duties and responsibilities are as follows:

·         Reviewing and refining existing policies and processes to ensure all regulatory requirements are met from a Financial Promotions perspective
·         Assessing Financial Promotions across a range of medium including web sites, social media and marketing collateral for a wide range of stakeholders
·         Maintaining a register for cases and overseeing and developing quality assurance; identifying risks and trends and feeding into the T&C Scheme
·         Acting as subject matter expert and support for the operational manager and peer group

The suitable candidate will have the following experience, qualifications and competence:

·         Diploma L4 qualified is preferred with a demonstrable track record of working in retail financial services in a compliance role alongside IFA's and/or restricted advisers.
·         In-depth and current knowledge of Financial Services including products and the impact of regulatory requirements governing Financial Promotions
·         Detail orientated and solutions focused individual with an eye for trends and potential risks
·         A "can do" attitude and well developed interpersonal skills across a variety of stakeholders ranging from peers to advisers

This role will give you the opportunity to be seen as a “go to subject matter expert” helping to shape and further develop the infrastructure of this varied and busy department.

There is the opportunity for home working with some time spent out of an office either in the North or South as and when required.

Excellent salary and benefits package, flexible working options and a very people orientated culture and approach to work.

Should this be of interest please do contact me for a confidential discussion on 0113 4260783.