Financial Promotions Compliance - Wealth/Private Banking - 3 Month Contract - £350 p/d Max Financial Promotions Compliance - Wealth/Private  …

Holmes Search
in London, United Kingdom
Contract, Full time
Last application, 19 Jan 22
£350 per day
Holmes Search
in London, United Kingdom
Contract, Full time
Last application, 19 Jan 22
£350 per day
Posted by:
Jake Wyatt • Recruiter
Posted by:
Jake Wyatt
Recruiter
3 months contract to assist a Private Banks compliance team in reviewing financial promotions.

The successful applicant will be responsible for undertaking a variety of review and monitoring activities across the breadth of services the bank offers including sign off of Financial Promotions, ensuring a robust Compliance framework is adhered too.

 Key Accountabilities

Ø Supporting the business with responses to client complaints
Ø Review and approval of UK financial promotions
Ø Maintenance and analysis of breach, gifts and conflicts registers
Ø Preparation and submission of regulatory reports as required
Ø Supporting Human Resources and the business with FCA registration process
Ø Foster strong relationships with key stakeholders including the business, members of the other global Compliance teams and the other Risk and support groups
Ø Working on a broad range of business-related projects

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