Archax is an FCA-regulated Multi-lateral Trading Facility (MTF) operating a trading and primary platform for professional and institutional clients. Our vision is to develop a truly digital capital market ecosystem that connects traditional market infrastructure with blockchain and DLT technologies.
*** This is an office based role, you must be able to commute to and work in the City of London as a norm***
To provide a key point of contact between the Marketing business lines and Compliance. The individual will provide strategic input and expertise into the production of marketing materials and develop and manage the firms third-party financial promotions approval service. The individual will also sponsor relevant projects through to implementation. This role would suit an enthusiastic Team Member who is confident in creating and implementing new processes and procedures.
Compliance Manager (Financial Promotions) covering the following areas:
- To be the primary Compliance point of contact for all technical queries and regulatory matters relating to marketing and distribution
- To help design and embed the firms third-party financial promotions approval service
- 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 sponsor the development of 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.
- Assist in the development of management information to track marketing approvals and assess the effectiveness of producing quality documentation
- Assist in the maintenance and revision of applicable policies and documents
- Assist the Compliance monitoring team with periodic compliance monitoring reviews relevant to production of marketing materials
- Assist the business with the preparation and compilation of regulatory reports and summaries to various committees of the Board and Senior Management, as required
Knowledge and Experience Required:
- At least 5 years relevant experience, preferably gained in a financial services or regulatory environment
- Financial Promotions experience skills, knowledge and expertise
Other required Skillsets/Traits:
- Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing knowledge desirable
- Energetic personality with the drive to effect 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
- Energetic personality with the drive to effect change and develop relationships across all levels of the business
- Degree or relevant industry qualifications - desirable
- Competitive salary
- Discretionary bonus
- Company pension scheme
- Comprehensive private healthcare scheme
- The chance to be part of an entrepreneurial, exciting, fast-growing, and future thinking company
- Opportunities to attend events and represent Archax and its vision
- Encouragement and support in your personal career development and industry knowledge
- 25 days holiday, increasing by one day each year (up to 30 days)
Archax is an equal opportunities employer and places a high value on diversity and inclusion. We do not discriminate based on any attribute.
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