Team Lead - Compliance

This role serves as a key member of the Compliance Communication Review Group (CCRG), providing compliance oversight and guidance for marketing and client-facing communications. The position is responsible for reviewing a broad range of marketing materials to ensure adherence to applicable regulatory requirements, industry standards, and internal policies while helping to mitigate compliance risk.

The role offers significant exposure to global business partners and provides an opportunity to act as a trusted compliance advisor, partnering with Marketing, Legal, and business stakeholders to support compliant and effective communications across multiple regions and business lines.

Key Responsibilities:

• Review and approve marketing, advertising, and client communication materials to ensure compliance with applicable regulatory requirements, industry standards, and internal policies.
• Provide risk-based compliance guidance and regulatory support to Marketing and business partners on communications and promotional activities.
• Evaluate materials for regulatory and reputational risk, ensuring communications are fair, balanced, accurate, and supported by appropriate disclosures.
• Build strong partnerships with stakeholders and serve as a trusted compliance advisor, promoting a culture of compliance and risk awareness.
• Maintain expertise in marketing communication regulations and regulatory standards across the EMEA region, supporting the development and enhancement of related policies, procedures, and review processes.

Required Qualifications:

• Bachelor's degree, or equivalent experience
• 5-10 years of experience in marketing material review, advertising review, or a related compliance services function.
• Strong understanding of regulatory requirements governing marketing communications, client communications, and advertising materials within the financial services industry.
• Knowledge of EMEA regulatory standards and experience reviewing marketing and promotional materials for compliance with applicable laws, regulations, and internal policies.
• Excellent written and verbal communication, stakeholder management, and analytical skills, with strong attention to detail and the ability to provide practical, risk-based compliance guidance.

Preferred Qualifications:

• Series 7 licensed or desire to obtain in the future.
• Experience of customer grievance handling