Compliance Monitoring Analyst

THE COMPANY:

Our client is an award-winning investment manager, providing Real Estate funding, Private Equity and is a leading provider of growth capital. They also run an Equities fund.

Financial Promotions experience is desired for this role.

THE 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
• Supporting the delivery of the Compliance Monitoring Programme
• Assisting with governance, reporting and thematic reviews
• Assisting with regulatory horizon scanning and internal regulatory updates
• Contributing to policy and procedure reviews
• Assist with streamlining compliance processes, leveraging AI
• Supporting ad‑hoc compliance queries from the business

EXPERIENCE REQUIRED:

• Experience working within a Compliance function at an FCA-regulated investment management firm
• Proven understanding of FCA regulatory requirements relating to financial promotions and client communications
• Previous exposure to Compliance Frameworks, with experience of compliance monitoring including thematic reviews and horizon scanning
• Exceptional organisation skills, with the ability to multi-task and prioritise competing demands
• Proven time management skills, with an ability to deliver against strict deadlines
• Excellent attention to detail
• Ability to develop and maintain strong working relationships across the business, and to manage stakeholder expectations effectively

For further information please contact Duncan Jeffery

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