(Wmn-607) - Compliance Analyst

Purpose of the Role: The Compliance Analyst will be responsible for delivering regulatory oversight of changes applicable to the Firm with a 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 & ResponsibilitiesThe 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 help deliver such training when required.Stay informed on relevant regulatory and market updates related to Financial Promotions in the Investment Services sector.Experience & QualificationsThe 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 a Financial Services environment (desired).Experience of dealing with other areas of the business and senior management.
#J-18808-Ljbffr