At a Glance
- Tasks: Provide compliance advice and review financial promotions to ensure regulatory standards are met.
- Company: Join a leading financial services firm committed to diversity and innovation.
- Benefits: Flexible benefits, performance bonuses, and career development opportunities.
- Other info: Collaborative environment with opportunities for continuous learning and growth.
- Why this job: Make a real impact by ensuring compliance while supporting exciting marketing initiatives.
- Qualifications: 5-8 years in compliance with strong knowledge of UK financial regulations.
The predicted salary is between 55000 - 65000 £ per year.
This role sits within our Line 2 Compliance function, responsible for providing independent review, advice, and constructive challenge to ensure regulatory and conduct risks are effectively identified, assessed, and managed in line with risk appetite and regulatory obligations. The role has specific accountability for reviewing and approving financial promotions to ensure compliance with FCA and other applicable regulatory requirements, while supporting the business to deliver marketing and client communications in a timely and commercially effective way.
Responsibilities
- Advisory, Review & Constructive Challenge
- Provide independent Line 2 review, advice, and challenge on product, customer, and strategic initiatives, including new products, product changes, market expansion, and distribution developments.
- Independently assess compliance and conduct risks arising from evolving business activities and ensure appropriate controls are designed and implemented.
- Partner with business stakeholders to enable commercial initiatives while ensuring regulatory obligations and client protections are met.
- Financial Promotions Review & Approval
- Review and approve financial promotions and client communications to ensure compliance with FCA requirements, including FCA Principles for Businesses, Consumer Duty, COBS, and the financial promotions rules under FSMA.
- Provide timely and pragmatic compliance advice on marketing campaigns, product promotions, digital content, social media communications, and client-facing materials.
- Apply sound judgement to balance regulatory requirements with commercial priorities and risk appetite.
- Manage high volumes of reviews, often under tight deadlines, while maintaining quality and regulatory standards.
- Advisory & Stakeholder Support
- Work closely with marketing, product, and commercial teams to provide practical compliance guidance throughout campaign and product development.
- Support business teams in developing compliant marketing strategies and communications from the outset rather than late-stage remediation.
- Provide constructive challenge where communications or promotions may create regulatory or conduct risk.
- Governance, Controls & Continuous Improvement
- Support enhancement of financial promotions governance, processes, and controls to improve consistency and efficiency of reviews.
- Maintain strong records and oversight of approvals and escalations in line with internal governance requirements.
- Support identification of recurring issues and contribute to improvements in marketing and communications practices.
- Training & Capability Development
- Support delivery of training and education to marketing and business teams to strengthen understanding of financial promotions requirements and expectations.
- Provide ongoing coaching and guidance to stakeholders to build stronger first-line capability and reduce rework.
- Contribute to development of guidance and best-practice materials for marketing and product teams.
Qualifications
- 5–8 years’ compliance experience within financial services, with strong experience reviewing and approving financial promotions.
- Strong technical expertise in UK financial promotions regulation and conduct requirements, including FCA rules and Consumer Duty expectations.
- Experience working with marketing and product teams in fast-paced environments with tight delivery timelines.
- Strong understanding of financial products, ideally including trading or investment products.
- Bachelor's degree in Law, Business, Finance, Economics or related field.
- Acts with integrity and consistently demonstrates high professional and ethical standards.
- Delivers high-quality work with energy, accountability, and a strong sense of urgency.
- Commercial and solutions-focused, enabling growth while maintaining strong compliance and client protection.
- Committed to continuous improvement in controls and ways of working.
- Communicates clearly and manages stakeholders effectively.
- Collaborates constructively while providing confident and effective challenge.
- Demonstrates sound judgement and resilience.
- Comfortable working from IG’s London office a minimum of three days per week.
Diversity & Inclusion
We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success. We’re committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, and we encourage applications from people with diverse backgrounds and experiences to join us on this journey.
Benefits
- 12% Flexible Benefits Package over and above your base salary, and wide variety of pension, insurance and medical plans to choose from.
- Participation in our annual performance based bonus scheme.
- Matched giving for your fundraising activity.
- Flexible working hours and work-from-home opportunities.
- Career-focused technical and leadership trainings in-class and online, including unlimited access to LinkedIn Learning platform.
- A day off on your birthday.
- Two days’ volunteering leave per year.
- Regular coaching and development sessions with senior leadership to optimise your leadership impact and identify growth opportunities.
Compliance Advisory Manager employer: IG Index Limited
As a Compliance Advisory Manager at our London office, you will thrive in a dynamic and inclusive work culture that prioritises professional growth and development. With a robust benefits package, including flexible working hours, performance-based bonuses, and access to extensive training resources, we empower our employees to excel while maintaining a strong commitment to compliance and client protection. Join us to be part of a team that values diverse perspectives and fosters innovation in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Advisory Manager
✨Tip Number 1
Network like a pro! Reach out to folks in the compliance and financial services sectors on LinkedIn. Join relevant groups and engage in discussions. You never know who might have the inside scoop on job openings or can refer you directly.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and financial promotions. We recommend creating a cheat sheet of key points to discuss, so you can confidently showcase your expertise when it matters most.
✨Tip Number 3
Don’t just apply and wait! Follow up on your applications through our website. A quick email to express your enthusiasm can set you apart from other candidates and show that you're genuinely interested in the role.
✨Tip Number 4
Practice makes perfect! Conduct mock interviews with friends or mentors to refine your answers and get comfortable discussing your experience in compliance. This will help you articulate how you can add value to the team.
We think you need these skills to ace Compliance Advisory Manager
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in compliance and financial promotions. We want to see how your skills align with the specific responsibilities mentioned in the job description.
Showcase Your Experience:Don’t just list your previous roles; explain how your past experiences have prepared you for this Compliance Advisory Manager position. We love seeing concrete examples of how you've tackled compliance challenges in fast-paced environments.
Be Clear and Concise:When writing your application, keep it straightforward and to the point. We appreciate clarity, so make sure your key achievements and qualifications stand out without unnecessary fluff.
Apply Through Our Website:We encourage you to submit your application directly through our website. It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at IG Index Limited
✨Know Your Regulations
Make sure you brush up on the FCA rules and Consumer Duty expectations before your interview. Being able to discuss these regulations confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've successfully reviewed financial promotions or provided compliance advice. Highlight how you balanced regulatory requirements with commercial priorities, as this is key for the Compliance Advisory Manager role.
✨Engage with Stakeholders
Think about how you've collaborated with marketing and product teams in previous positions. Be ready to discuss how you provided practical compliance guidance and constructive challenge, as this will demonstrate your ability to partner effectively with business stakeholders.
✨Demonstrate Continuous Improvement Mindset
Be prepared to talk about how you've contributed to enhancing governance processes or improving compliance practices in your past roles. This shows that you're not just about maintaining standards but also about driving positive change within the organisation.
