Marketing & Distribution Compliance Officer

This role sits in the Distribution Compliance team and is responsible for compliance oversight of the Group’s operations with a focus on financial promotions compliance and related advisory tasks in respect of the distribution of financial products and services on a cross-border basis.

Responsibilities:

• Review marketing and advertising literature, for example: adverts, social media posts, factsheets, presentations and press releases for audiences in the UK and multiple overseas jurisdictions including EMEA, LATAM, and APAC in alignment with applicable regulation such as MiFID, FCA COBS 4, CBDF, SDR/SFDR and Anti-greenwashing.
• Provide constructive and accurate feedback, ensuring that required amendments are made.
• Provide guidance and mentoring to less experienced colleagues, deputising for the team manager as needed.
• Maintain close working relationships with Investment Services, Marketing, Communications and other stakeholders, offering pro-active, accurate and timely advice and support.
• Provide training to business teams on marketing compliance regulation and industry best practices.
• Work closely with US Compliance colleagues on approval of materials intended for a Rest of World ("RoW") and US audience and in respect of systems and controls and consistency of standards.
• Contribute expertise towards projects and initiatives that require Marketing Compliance input.

Technical Competencies

• Proven experience reviewing Financial Promotions the marketing and sale of investment products and services more widely
• Good understanding of financial products and global regulation relating to financial services
• Ability to operate at all levels within the Firm and wider industry groups
• Self-motivated mindset with strong organisational and communication skills and a pragmatic, solutions-oriented approach
• Knowledge and familiarity with Outlook, Word, Excel and common financial services systems