Compliance Manager

IG Group

  • London
  • Permanent
  • Full-time
  • 17 days ago
Job Title Compliance ManagerJob DescriptionWho are we?Hello, we’re IG Group. We are a publicly-traded FTSE250 FinTech company who run mobile, web and desktop platforms that help our clients trade stocks & shares, leveraged products, Futures & Options and Crypto.We are ambitious. Over 340,000 people already use our platforms. We’re global with offices in 18 countries and products in 16 regions. We’re hungry to move faster, ship better product for our customers and grow our user base. We believe in high autonomy, and we want people who are looking to do things differently in order to create better experiences for our customers.We work in cross-functional teams and are laser focused on increasing the number of active clients we serve to drive sustainable growth.What’s the role?The Compliance Manager role supports the UK division with designing and implementing its commercial strategy, by highlighting risks, issues and compliant solutions to business proposals and creating efficient and commercially-sensitive engagement between the business and compliance teams.Reporting into the Head of Advisory Compliance, you will work autonomously with UK Division stakeholders, UK Compliance colleagues and IG’s Group-level functions (Trading & Operations, Finance, HR, Risk, Legal) to deliver a sustainable and compliant business model.What will you do?
  • Leading on ensuring Financial Promotions compliance, acting as a first point of contact for the marketing teams and leadership.
  • Advising the marketing function on regulatory requirements including in respect of approach to specific campaigns.
  • Providing advice to the product teams on introduction of new and adaptations to existing products
  • Advising all parts of the business on its obligations under the Consumer Duty and application of its principles and outcomes.
  • Development and deployment of relevant compliance policy, and associated control frameworks necessary to ensure regulatory compliance and adherence to policy.
  • Delivery of ongoing training to the UK divisional business, UK compliance team and other stakeholders as required.
  • Assisting Compliance Assurance with monitoring activity as required e.g. client communications.
  • Attending Client Money and Assets Committee and assisting in client money advisory matters.
  • Reviewing Operational Risk Events for indications of regulatory breaches.
  • Managing high-value, and or complex complaints. This encompasses ultimate responsibility for the drafting and submission on a timely basis of the response to the complaint.
  • Providing strategic advice on the approach to the ombudsman in response to high-value or precedent-setting complaints within regulatory timelines
What will you need for this role?
  • 5+ years of experience in compliance in financial services or similar regulated environments
  • Good working knowledge of leveraged and non-leveraged trading of financial instruments and other popular investments – like Crypto.
  • Strong understanding of the FCA regulations applicable over retail investments, particularly the Consumer Duty, COBS, and DISP.
  • A keen interest in financial markets and investing, and the regulatory environment around these topics in the UK.
  • Some familiarity with UK regulation and regulatory framework, and other handbook areas such as Client Money & Assets, Product Governance, Training & Competence, SMCR & FIT.
  • Excellent stakeholder management and communication skills across all levels of the organisation
  • Proven ability to demonstrate strategic thinking with a proactive and solutions-focused approach
We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success. We’re committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, that’s why we encourage applications from people with diverse backgrounds and experiences to join us on this journey. Learn more about our D&I approachWhat you’ll get!This role will bring with it a range of development and growth opportunities which we hope are motivating for someone who wants to Raise the Bar.You’ll also be included in our company bonus programme and receive 12% flexible benefits allowance. Read more about our perksNumber of openings 0

IG Group