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    • city of london, london
    • contract
    • £400 - £500 per day
    • randstad financial services
    You will...Provide compliance advisory support in respect of IM-EMEA's distribution activities within EMEA and Latin America, including provision of timely and accurate compliance advice to business partners on local laws and regulations relating to the promotion of products and services in each relevant jurisdiction.Review and approval (as appropriate) of financial promotions for both retail and professional clients to ensure compliance with the FCA financial promotions rules and the regulations in other jurisdictions, ensuring pro-active management of workflow, co-ordinating effectively with other members of the Compliance team and channel marketing teams to manage priorities.Provide assistance in the review of legal contracts entered into by IM-EMEA, in particular distribution agreements, rebate letters and other commercial agreements.To assist in the implementation and execution of the risk-based compliance monitoring programme, primarily in respect of IM-EMEA business functions in London and in other locations, including subsidiaries, branches and representative offices, accompanying other members of the team on site-visits and assisting preparation of reports.To assist with the contribution of the corporate governance framework in respect of IM-EMEA, including input to preparation of reports to the IM-EMEA Executive Committee, the IM-EMEA Board and internal governance committees, including the Risk & Compliance Committee, as required. Manage collation of statistical information on financial promotions compliance and other management information. To engage with business initiatives and projects requiring Compliance input and compliance-originated projects relating to regulatory developments and/or changes to compliance policies and procedures. Demonstrate awareness of current and emerging regulatory and industry developments and the potential impact to IM-EMEA and the associated fund management companies.To contribute to general compliance duties, including maintenance of the Compliance Manual, compliance policies and procedures, individual registrations and regulatory reporting. Demonstrate awareness of regulatory and industry developments which are likely to have an impact on IM-EMEA's activities or those of the associated fund management companies.Communicate any relevant compliance issues to the Compliance Manager Distribution & Financial Promotions and/or Head of Distribution & Financial Promotions You need to have...Prior experience working with financial promotions, ideally including prior exposure to marketing rules in multiple jurisdictions.Previous exposure working with retail financial services products would be beneficial, in particular retail investment products such as UCITS.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 COBS. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
    You will...Provide compliance advisory support in respect of IM-EMEA's distribution activities within EMEA and Latin America, including provision of timely and accurate compliance advice to business partners on local laws and regulations relating to the promotion of products and services in each relevant jurisdiction.Review and approval (as appropriate) of financial promotions for both retail and professional clients to ensure compliance with the FCA financial promotions rules and the regulations in other jurisdictions, ensuring pro-active management of workflow, co-ordinating effectively with other members of the Compliance team and channel marketing teams to manage priorities.Provide assistance in the review of legal contracts entered into by IM-EMEA, in particular distribution agreements, rebate letters and other commercial agreements.To assist in the implementation and execution of the risk-based compliance monitoring programme, primarily in respect of IM-EMEA business functions in London and in other locations, including subsidiaries, branches and representative offices, accompanying other members of the team on site-visits and assisting preparation of reports.To assist with the contribution of the corporate governance framework in respect of IM-EMEA, including input to preparation of reports to the IM-EMEA Executive Committee, the IM-EMEA Board and internal governance committees, including the Risk & Compliance Committee, as required. Manage collation of statistical information on financial promotions compliance and other management information. To engage with business initiatives and projects requiring Compliance input and compliance-originated projects relating to regulatory developments and/or changes to compliance policies and procedures. Demonstrate awareness of current and emerging regulatory and industry developments and the potential impact to IM-EMEA and the associated fund management companies.To contribute to general compliance duties, including maintenance of the Compliance Manual, compliance policies and procedures, individual registrations and regulatory reporting. Demonstrate awareness of regulatory and industry developments which are likely to have an impact on IM-EMEA's activities or those of the associated fund management companies.Communicate any relevant compliance issues to the Compliance Manager Distribution & Financial Promotions and/or Head of Distribution & Financial Promotions You need to have...Prior experience working with financial promotions, ideally including prior exposure to marketing rules in multiple jurisdictions.Previous exposure working with retail financial services products would be beneficial, in particular retail investment products such as UCITS.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 COBS. Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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