Description
One of our large Banking clients in looking for an experienced Compliance Specialist - Structured Products
Dedicated contractor required to assist with an urgent Financial Promotions review as well as the BAU product approval flow for Structured Products. We have identified that our Structured Products templates require review to ensure they meet the FCA Conduct of Business Rule requirements. We require a highly experienced contractor to review/update the templates over a 6mth period. The review of the templates will be prioritised based on revenue derived from each template
Reviewing Structured Products financial promotion templates to ensure they are compliant with the COBS 4 rules. BAU product approval flow for Structured Products, Hedge Funds and Private Equity marketing material will also be included.
The IWM UK Compliance Team cover the UK Private Banking business. The Compliance team performs an advisory, training and monitoring function in respect of all aspects of the UK Private Banking business to ensure that the business adheres to local regulatory requirements and Group policies.
The team consists of 10 employees.
The candidate will report directly to the Head of the IWM UK Advisory Compliance Team and have frequent interaction with the Senior Manager for Compliance as well as the Head of Legal and Head of Products for CSUK
will need to have strong Structured Products and FCA Conduct of Business Financial Promotion experience; a derivatives lawyer or a candidate with a similar background would be ideal or a highly experienced compliance officer that has worked in the product space with extensive knowledge
Comfortable engaging with senior management and also able to give robust challenge when required
If you have the above experience please apply with your most resent CV