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Financial Promotions Consultant

  • Location

    Newcastle upon Tyne

  • Discipline:

    Compliance

  • Job type:

    Contract

  • Salary:

    c. £350 - £450.00 per day

  • Consultant:

    #

  • Email:

    psherlock@merje.com

  • Job ref:

    PS/15968

  • Published:

    4 months ago

Works closely with the Marketing teams to help support them in the compliant delivery of their objectives and to ensure that all sales and marketing materials, in whatever medium, comply with the FCA's rules on financial promotions and any other relevant regulations.

Key responsibilities include:

  • Review marketing materials, in whatever medium, to confirm that they comply with FCA regulations and other relevant codes of practice
  • Maintain an effective sign-off process for compliance and audit purposes and is responsible for identifying any gaps and recommending changes where these arise
  • Work closely with the other team members to help ensure best use of resource
  • Create and run financial promotions training sessions for marketing staff to help inform their understanding of how the relevant rules apply to the materials they create
  • Set guidelines and identify suitable marketing staff for sign-off of new, low-risk financial promotion items and/or temporary extensions for existing item
  • Set and agree sign-off service levels with key stakeholders such as Marketing and Sales
  • Monitor performance against these service levels utilising statistics via the compliance management system (LAB)
  • Manage resources and prioritises workloads to ensure the achievement of service standards and departmental objectives
  • Take full responsibility for regularly updating own knowledge of FCA regulations, industry codes of practice and company products, processes and procedures in order both to perform the key functions of this role and to provide accurate advice and opinions when required
  • Identify and report any emerging risks that relate to the efficient and effective operation of the financial promotion’s approval function

The Person:

  • Acting with integrity, care and diligence always
  • Authorisation to resolve marketing compliance issues referred by all parts of the business
  • Adheres to any guidelines provided within role
  • Attends all meetings relevant to the role as and when required
  • Has the authority to sign off promotional literature, in whatever medium