Compliance Monitoring Analyst in England

Puma Capital Group are looking for a Compliance Monitoring Analyst to join our Compliance team in London. Within this role, you will be a trusted point of control and judgement within the business and will have ownership of a core compliance responsibility. The role will be responsible for the review and approval of financial promotions and other external-facing communications, alongside the delivery of Puma’s Compliance Monitoring Programme. This role will allow the individual to broaden their regulatory knowledge and practical experience across the compliance lifecycle.

Role Responsibilities:

• Review and approve financial promotions, marketing materials and other communications to clients and external distributors, ensuring that all materials comply with applicable regulatory requirements and internal policies and are clear, fair and not misleading.
• Work closely with relevant teams, including Marketing and Product, to ensure that promotional strategies are compliant and that all external facing collateral is factually accurate, appropriately maintained and subject to ongoing review and approval, and that communications sign-off is actioned in a timely and robust manner.
• Maintain accurate and auditable records of all reviewed and approved materials.
• Build and maintain a strong working relationship with the Product team to ensure a sound understanding of product and service features.
• Supporting the delivery of the Compliance Monitoring Programme.
• Assisting with governance, reporting and thematic reviews.
• Assisting with regulatory horizon scanning and internal regulatory updates.
• Contributing to policy and procedure reviews.
• Assist with streamlining compliance processes, leveraging AI.
• Supporting ad-hoc compliance queries from the business.

Experience Required:

• Experience working within a Compliance function at an FCA-regulated investment management firm.
• Proven understanding of FCA regulatory requirements relating to financial promotions and client communications.
• Previous exposure to Compliance Frameworks, with experience of compliance monitoring including thematic reviews and horizon scanning.
• Exceptional organisation skills, with the ability to multi-task and prioritise competing demands.
• Proven time management skills, with an ability to deliver against strict deadlines.
• Excellent attention to detail.
• Ability to develop and maintain strong working relationships across the business, and to manage stakeholder expectations effectively.

Personal Attributes:

• Kind.
• Values-driven.
• Excellent communicator.
• Adaptable and willing to get stuck into whatever needs doing.
• Depth of character and gravitas but operating with humility.
• The drive and attitude to excel in a high performing environment whilst maintaining high levels of integrity.
• Energy, dynamism, and passion for complex business challenge.
• Organised, rigorous and disciplined.
• Pragmatic and practical.
• Demonstrates high levels of discretionary effort.

About Us:

Founded in 2012, Puma Capital Group is an award-winning investment manager operating within the tax efficient space and is a leading provider of growth capital to UK SMEs and property finance to developers and real estate investors. The Puma Capital Group comprises four businesses focused on delivering long-term sustainable growth for our investors and partners: Puma Investments, Puma Property Finance, Puma Growth Partners, and Puma Public Markets. Collectively the Group has over £1 billion in assets under management, supports over 14,000 investors, and has funded over £3 billion in property developments across the UK. We are proud to have assisted dozens of businesses across the UK elevate and build to deliver on their brilliant ideas.

In the years since we were set up, Puma Capital Group has grown significantly. We are now around 140 people across the Group, with our staff working from our head office in London, and regional offices in Manchester and Edinburgh. It is an exceptionally exciting time for our business. Combining our already very strong track record with ambitious growth strategies, we have already developed our market share substantially and are looking to build further on our success.

At Puma, we are committed to fostering an inclusive and diverse workplace. As an equal opportunity employer, we consider all applicants for employment without regard to race, religion, age, sexual orientation, gender identity, gender reassignment, family or parental status, national origin, veteran status, neurodiversity, or disability status. We strive to provide a work environment free from discrimination and harassment, where everyone has the opportunity to thrive. Our commitment to equal opportunity extends to all aspects of employment, including recruitment, hiring, promotion, compensation, benefits, training, and development.

Importantly, research shows that men typically apply for roles when around 60% of the criteria is met, however, women and other underrepresented people often only apply when they tick every box. So, if you think you have what it takes, but don't necessarily meet every single point outlined in the role description, please do still get in touch – we would love to hear from you!