Kind Consultancy is working with a national Financial Services network which is currently seeking a Compliance Review Officer to work on Financial Promotions in a full-time, permanent role based in their East Midlands offices, paying up to £26,000. After a fully in-office probation period of 6 months, this role will move to a hybrid model with 2 days per-week working from home.

The Compliance Review Officer will ensure compliance with regulatory requirements within the network, providing and recording approval to appointed representative firms in respect of stationery, financial promotions and other customer facing materials, with key responsibilities including:

• Maintain records of member firms’ financial promotions on the network systems, cross reference with a database and scheduling appropriate reviews
• Delivering compliance controls including carrying out spot checks of websites, emails, banners, advertisements, and social media
• Assessing and carrying out desk-based reviews of representative firms’ financial promotions, within agreed service levels and recommendations made where appropriate – including documenting all details of the planned financial promotion and ensuring feedback is followed up until fully completed.
• Providing appropriate and constructive feedback to members where areas for improvement are identified, i.e., setting up marketing campaigns and ensuring clear, fair, and not misleading
• Reporting any areas of risk identified to the line manager and agreeing remedial action where appropriate
• Producing MI reports
• Maintaining records of all decisions concerning financial promotions.
• Reporting any breaches in line with the network policy, ensuring a record is held on file
• Providing training of financial promotions to team members

Our ideal candidate for the Compliance Review Officer - Financial Promotion role:

• Holding CeMAP (or equivalent) is not essential but would be highly desirable
• Has a good knowledge of the FCA Handbook and Financial Promotion requirements and other relevant legislator requirements for Financial Promotions i.e., codes from ASA, telecommunications regulations.
• Has 2 or more years of experience in similar positions within Financial Services
• Displays excellent verbal and written communication skills, with good presenting skills
• Has a good understanding of the legislative frameworks that financial services operate i.e., DPA 2018, FSMA, etc.
• Demonstrates strong time management and organisational skills
• Is competent with Microsoft office suite i.e., excel, word, PowerPoint etc

If you're interested in the Compliance Review Officer - Financial Promotions opportunity, you have the skills, knowledge and experience we're looking for and you're based in or can commute to the East Midlands, please apply with an updated CV today.