Compliance Officer (Financial Promotions)
We currently have an opportunity for an experienced Compliance Officer to join our Financial Promotions team within Intrinsic. This position can be based in Newcastle, Swindon or Home Based.
You will ensure compliance with regulatory requirements by delivering the Intrinsic Compliance Monitoring Programme. Specifically, providing (and recording) approval to Staff and members in respect of stationery, financial promotions and other client facing materials in line with regulatory requirements and company standards.
Key Responsibilities:
- Approval of advertising and promotional material and Stationery maintaining the standard of TCF and clear, fair and not misleading advertising
- Maintain an acceptable turnaround time whilst offering help and assistance to all advisers wishing to gain approval for advertising material
- Remain up to date with the FCA rules and guidance for financial promotions and disclosure documentation
- Maintain good working relationships with stakeholders
- Ensure that the record keeping processes for financial promotions remain robust and accurate within a reasonable timescale
Qualifications Required:
- 5 GCSE's A-C grade as minimum, including Maths and English.
- Certificate (Level 3 Qualified*)
*Part qualified individuals would be considered however they would be expected to attain Level 3 status within 12 months.
About Us:
Established in 2006, Intrinsic has grown to become the UK's largest distributor of financial advice.
More than 3,300 advisers have chosen Intrinsic as the place to develop and grow their businesses. Why? Because Intrinsic has the size, the financial strength, and people with the knowledge and expertise to help advisers achieve more.
Our advisers are focused on providing the right advice and solutions for their clients, both individuals and businesses. They operate across all markets, from pension and investment advice to mortgage planning, protection and insurance.
Led by a highly accomplished and experienced management team, Intrinsic has the resources, the financial strength and a track record of success to deliver invaluable guidance and support to our members.
In Old Mutual Wealth we have a like-minded, financially strong partner, who not only shares our belief in the importance of advice but also our vision for the future of Intrinsic.
You will ensure compliance with regulatory requirements by delivering the Intrinsic Compliance Monitoring Programme. Specifically, providing (and recording) approval to Staff and members in respect of stationery, financial promotions and other client facing materials in line with regulatory requirements and company standards.
Key Responsibilities:
- Approval of advertising and promotional material and Stationery maintaining the standard of TCF and clear, fair and not misleading advertising
- Maintain an acceptable turnaround time whilst offering help and assistance to all advisers wishing to gain approval for advertising material
- Remain up to date with the FCA rules and guidance for financial promotions and disclosure documentation
- Maintain good working relationships with stakeholders
- Ensure that the record keeping processes for financial promotions remain robust and accurate within a reasonable timescale
Qualifications Required:
- 5 GCSE's A-C grade as minimum, including Maths and English.
- Certificate (Level 3 Qualified*)
*Part qualified individuals would be considered however they would be expected to attain Level 3 status within 12 months.
About Us:
Established in 2006, Intrinsic has grown to become the UK's largest distributor of financial advice.
More than 3,300 advisers have chosen Intrinsic as the place to develop and grow their businesses. Why? Because Intrinsic has the size, the financial strength, and people with the knowledge and expertise to help advisers achieve more.
Our advisers are focused on providing the right advice and solutions for their clients, both individuals and businesses. They operate across all markets, from pension and investment advice to mortgage planning, protection and insurance.
Led by a highly accomplished and experienced management team, Intrinsic has the resources, the financial strength and a track record of success to deliver invaluable guidance and support to our members.
In Old Mutual Wealth we have a like-minded, financially strong partner, who not only shares our belief in the importance of advice but also our vision for the future of Intrinsic.