Overview

We are looking for a Compliance Officer level specialist to join our Compliance team in London for an interim period. Sales Practices Compliance experience, and specialist knowledge in particular of financial promotion and marketing rules for professional (non‑retail) investors in the UK and Europe, are essential as a large portion of the time with the team will require review of promotional materials, pitchbooks and social media content, provide advice, and support workstreams and projects that support and service predominantly our front office sales and distribution teams and our International marketing team. Demonstrable experience of specialist understanding and advising on FCA financial promotion rules and a good knowledge and experience of ESMA Marketing Guidelines and other related rules in the EMEA region will be necessary, with knowledge and experience of advising on the equivalent rules in APAC also highly beneficial to the role.

We currently ...