Compliance Advisory Associate
Based in the London office, you will work alongside a Compliance Manager in an exciting and varying work environment. This role transcends a number of products and services across Asset Management, with a focus on reviewing Financial Promotions across a portfolio of newly engaged and existing Appointed Representatives for the Principal Firms within the Lawson Conner group of companies.
What is an Appointed Representative:
An FCA Appointed Representative is a firm or individual that does not hold authorisation from the FCA but instead acts under the authority of an authorised firm's authorisation known as the principal firm.
Day-to-day as Compliance Advisory Associate:
* Review and approve marketing materials, including presentations, factsheets, brochures, web content, video and email marketing content in adherence with the FCAs rules and finalised guidance, covering Funds and other financial products and services.
* Overseeing the set-up of financial products / services, in accordance with the Principal Firm's policies and procedures, and contributing to the Product Governance process for new products / services.
* Responding to queries from Appointed Representatives and counterparties in relation to financial products / services and promotional activities.
* Review policies and procedures, and reviewing root cause analysis of breaches and resolving breaches linked to Financial Promotions and Communications.
* Developing training materials for internal staff and the Appointed Representatives