Senior Compliance Associate

£70,000 | London | Permanent


Posted 14 days ago


InterQuest are delighted to be working with a leading FCA-regulated exchange, broker, and custodian for digital assets to help support with the recruitment of a Compliance Senior Associate.

**Office Based Role**

This role will be part of our Financial Promotions team and will focus on:

• Setting up and implementing the company's service to approve third-party financial promotions.

• Supporting the FCA application process to obtain the relevant approver permissions.

• Providing strategic input and expertise into the production of the company's proprietary marketing materials.


• To be one of the primary Compliance points of contact for all technical queries and regulatory matters relating to marketing, distribution and financial promotions.

• To help design and embed the firm’s third-party financial promotions approval service.

• To provide advice, guidance and training to the business in relation to current and emerging regulations in respect of product distribution and marketing, including cross border activities.

• To embed relevant workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials.

• To provide support, training and guidance to the business in regard to financial promotions.

• To assist in the development of management information to track marketing approvals and assess the effectiveness of producing quality documentation.

• To assist in the maintenance and revision of applicable policies and documents.

• To assist the Compliance monitoring team with periodic compliance monitoring reviews relevant to production of marketing materials.

• To assist the business with the preparation and compilation of regulatory reports and summaries to various committees of the Board and Senior Management, as required.

Experience Required:

• At least 3 years relevant experience, preferably gained in financial services or regulatory environment.

• Financial Promotions experience skills, knowledge and expertise.

• Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing knowledge desirable.

• Ability to drive change and develop relationships across all levels of the organisation.

• Strong written and verbal communication skills.

• Strong analytical skills including problem solving and solution-orientated thinking.

• Able to use initiative, work unsupervised and comfortable taking responsibility.

• Degree or relevant industry qualifications – desirable.

InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.