Compliance Analyst
hace 2 días
Purpose of the role:
The Compliance Analyst will be responsible for delivering regulatory oversight of changes applicable to the Firm with focus on Financial Promotions within the investment services sector; providing support to the review and approval of financial promotions to the Spanish Branch of CMC Markets Germany GmbH.
THIS IS A PART TIME ROLE (20 Hrs a week).
Tasks & Responsibilities
- The Compliance Analyst will provide regulatory support and guidance on financial promotions, customer communications, fund offering documentation and website/social media content to all areas of the business.
- Support the development and delivery of policies, procedures and reporting in line with regulatory requirements.
- The Compliance Analyst will have responsibility for the approval of any client facing advertising or promotional material and company stationery, following CMC Markets Spain Branch Advertising Policy and CNMV guidelines.
- Maintain the Standard Level Agreement (SLA) whilst offering help and assistance to content producers requesting approval for advertising material.
- The Compliance Analyst will maintain the Branch's Campaign Register up to date and ensure a high-quality level of the record keeping processes, identifying improvements where possible.
- Identify regulatory training requirements within the Marketing and Product teams and helping to deliver such training when required.
- Stay informed on relevant regulatory and market updates related to Financial Promotions in the Investment Services sector.
Experience & Qualifications
- The Compliance Analyst will hold a Degree in Law, Economics or (Business and Law)
- Excellent communication skills.
- Good knowledge of MS Office.
- Strong analytical skills.
- The Compliance Analyst must have good knowledge and understanding of Spain Financial Services regulation.
- 1 to 2 years of working experience approving Financial Promotions in Financial Services environment (desired)
- Experience of dealing with other areas of the business and senior management.
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