Regulatory Compliance Manager



Highly Competitive with Excellent Benefits

Denholm is working exclusively with one of our key financial services clients in Edinburgh, a major organisation in the industry who is looking to recruit a Regulatory Compliance Manager to join a new team that's just been created. You will lead and manage Advertising Standards for Marketing, delivering a market responsive approach for the approval of core product disclosure documents and financial promotions - ensuring compliance with regulatory and legislative requirements, and ensuring the Marketing function delivers good customer outcomes. 

You will have experience and knowledge of: 

  • Customer information needs and the need to tailor communications to the customer.
  • FCA handbook of principles, rules and guidance (scope and structure).
  • Regulatory objectives.
  • How regulation protects consumers of financial services and maintains public confidence.
  • Legal and non-FCA regulations applicable to the product and media type being reviewed e.g. ASA, radio and television codes, prize draws, DDA, call monitoring. 
  • Internal Financial Promotion policies (from intranet and other sources) and operational procedures.
  • Manual and electronic record-keeping systems, and how these support clear audit trails, workflow and provides MI to support the approvals and QS work.

Additionally, you will: 

  • Effectively communicate the outcome of a review or QS of material to the accredited approver and/or originator. 
  • Where appropriate make creative and pragmatic suggestions to the accredited approver and/or originator to help them get the item approved.

If this sounds like you, we'd love to hear from you to discuss further! 

Find out more...

If you'd like more information on this opportunity, please get in touch today!

Jonathan Watt, Principal Consultant

Call 0131 553 9314

Apply Now: Regulatory Compliance Manager