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, remote work options, and extensive training opportunities.
- Other info: Collaborative environment with opportunities for personal and professional 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 40500 - 49500 £ per year.
Overview
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 Linked In 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.
- #J-18808-Ljbffr
Compliance Advisory Manager in London employer: IG Index Limited
At IG Group, we pride ourselves on being an exceptional employer, offering a dynamic work environment where innovation thrives. As a Junior Dealer in Futures & FX, you'll benefit from extensive learning opportunities and a supportive culture that encourages collaboration across departments. With our hybrid working model and a focus on employee well-being, you can expect a fulfilling career path in the fast-paced world of fintech.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Advisory Manager in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like IG Index Limited looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Advisory Manager in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at IG Index Limited. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at IG Index Limited
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with IG Index Limited’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
