Financial Promotions Compliance Analyst

London  ‐ Onsite
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Description

Financial Promotions Compliance Analyst

Business Development & Marketing

Experience of managing the regulatory requirements of marketing documentation, ensuring financial promotions documents and marketing info adheres to regulatory rules

Strong knowledge of UK Regulatory system

Financial Promotions

to provide 'Embedded' compliance support to the marketing team, specifically in relation to the production of presentation materials

  • to work with the wider commercial area to develop robust processes for ensuring presentation materials are complied efficiently and effectively, with particular emphasis on evaluating the case for the commercial area to self-comply those materials.
  • This is a unique role, and has been established to ensure that the business is ideally equipped, in production and distribution of presentation materials, both to meet its regulatory responsibilities and fulfil its commercial ambitions.

    It is envisaged that the role will be for an initial period of six months, at the end of which it is intended that a robust process will be in place for compliance of presentation materials.

    Responsibilities:

    (Outline responsibilities, accountabilities, deliverables and desired output of the role, as well as key relationships, eg clients, internal liaison points, external organisations etc.)

    Provide compliance advisory support to the commercial area in the production and distribution of presentation materials (and other marketing materials as appropriate), in relation to Newton's direct business in the UK and the US.

    Review and approve such materials where required to ensure compliance with regulatory rules.

    Work in partnership with compliance/presentation teams in other channels, including IM EMEA, in so far as required to develop collaborative processes and facilitate the effective and efficient rebranding/repurposing of Newton presentation materials in those channels.

    Act as a conduit for the flow of information and advice between the compliance team and the commercial area, and vice versa.

    Work with the wider commercial area to develop and implement robust processes for ensuring presentation materials are signed off efficiently, and effectively (with due regard to all regulatory responsibilities).

    Evaluate, in particular, the case for the commercial area to start self-complying those materials, and assess all implications of it doing so.

    Participate in providing training, as required, to the commercial area to ensure (selected) individuals in the commercial area are equipped to self-comply materials.

    Demonstrate awareness of current and emerging regulatory and industry developments, and consider (and communicate to key stakeholders) the potential impact on Newton and its distribution partners.

    Responsibilities:

    • Comply with all corporate policies and procedures within the department.
    • Alert management immediately of any significant changes to business risks and internal controls effectiveness.
    • Notify management and the compliance team immediately of any regulatory breach.
    • Comply with health and safety policies and procedures operating within the business.

    Job Specific Competencies (please refer to the Competency Guide on the HR Intranet

    • Strong interpersonal and communication (oral and written, including report writing) skills essential, including ability to communicate with staff at all levels.
    • A strong team player and self-motivated.
    • Ability to work effectively under pressure and to tight deadlines.
    • Must be capable of exercising sound judgement and good decision-making in managing risk.
    • Good organisational skills and self-discipline in managing priorities.
    • Proven ability to work as an effective partner with the business while retaining objectivity, independence of thought and decision-making

    Technical Skills, Knowledge, Systems Knowledge

    • Prior experience working with financial promotions, ideally including prior exposure to marketing rules in multiple jurisdictions.
    • Good knowledge of the UK regulatory system including the FCA's supervisory approach and the Handbook of rules/guidance, in particular the Financial Promotions rules in
    • Good knowledge of the US (SEC and FINRA) regulatory system
    • Competent in Word, Excel, PowerPoint and other desktop applications.

    Academic/Professional Qualifications

    • Degree level preferred but not essential.
    Start date
    ASAP
    Duration
    6 months
    From
    Pontoon
    Published at
    28.07.2016
    Project ID:
    1175844
    Contract type
    Freelance
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