Governance & Regulations, Manager
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Company Description
Evelyn Partners is the UK's leading integrated wealth management and professional services group, with over 186 years of experience in helping generations of people and businesses to thrive. We offer an extensive range of financial and professional services to individuals, family trusts, professional intermediaries, charities and businesses.
We provide an award-winning service for our clients by employing the best people. Join us on our mission to place the power of good advice into more hands because we believe that everyone deserves access to good advice, regardless of where they're at in their financial journey.
An exceptional track record of growth and innovation is driven by our core values of: Personal, offering advice based on a true understanding of what matters to our clients; Partnership, working with our clients in a joined-up, collaborative way; and Performance, demonstrating a breadth and depth of advice expertise to deliver first-class results.
Read more about us and available career opportunities here:
Wealth, accountancy and business advisory services / Evelyn Partners
Careers / Evelyn Partners
Job Description
As Senior Manager, you will ensure Evelyn Partners adheres to all relevant industry regulations, maintains ethical marketing practices, and upholds the highest standards of compliance, including delivery of good client outcomes. You will be responsible for providing oversight of all Marketing and Commercial activities, ensuring they align with legal requirements, industry guidelines, and internal policies, including, but not restricted to Financial Promotions, Consumer Duty and Sustainability regulations.
Key Responsibilities
- Monitor and interpret regulations
Stay abreast of relevant marketing regulations, including those set by the Financial Conduct Authority (FCA), Advertising Standards Authority (ASA) and other governing bodies. Translate complex legal jargon into actionable guidelines for the marketing team - Review Marketing materials
Scrutinize marketing collateral, campaigns, and other client communications to ensure compliance with regulatory standards. Partner with marketing colleagues to ensure this objective is compatible with delivering on the firm's marketing objectives and overall communications excellence. Address any discrepancies promptly. - Provide guidance and training
Offer guidance and training to the Marketing and Commercial team on regulatory requirements (including Consumer Understanding), best practices and potential compliance risks. Foster a culture of compliance awareness and accountability throughout the organisation - Collaborate with Legal and Compliance teams
Work closely with Legal and Compliance to address regulatory issues and inquiries related to Marketing and Commercial activities. Collaborate on the development of compliant marketing strategies and initiatives, including customer journeys - Risk assessment and mitigation
Conduct regular risk assessments of marketing activities to identify potential compliance gaps or areas of concern. Develop and implement strategies to mitigate risks and ensure compliance with regulatory requirements, including use of consumer testing - Stay informed of industry trends
Keep abreast of industry trends and best practices in marketing governance and regulations within the wealth management sector. Leverage this knowledge to enhance the firm's marketing compliance practices and maintain a competitive edge
Qualifications
Key Skills and Experience
- Experience in marketing compliance, regulatory affairs or a similar role within the financial services industry, preferably within wealth management
- In-depth knowledge of regulatory frameworks governing financial services marketing in the UK, including FCA rules and guidelines
- Strong analytical skills with the ability to interpret complex regulatory requirements and apply them to practical marketing scenarios
- Excellent communication and interpersonal skills, with the ability to effectively liaise with internal and external stakeholders at all levels
- Proven track record of developing and implementing marketing compliance policies and procedures
- Ability to work independently, prioritise tasks and manage multiple projects simultaneously in a fast-paced environment
- High level of integrity, professionalism and attention to detail
- Appreciation of marketing strategy and executional excellence and ability to partner collaboratively with marketing and brand colleagues to achieve outcomes that are both compliant and compelling
Professional Qualifications and Education
- University degree
Additional Information
As a colleague here at Evelyn Partners, you will have access to benefits that include:
- Competitive salary
- Private medical insurance
- Life assurance
- Pension contribution
- Hybrid working model (role dependant)
- Generous holiday package
- Option to purchase additional holiday
- Shared parental leave
We are proud to value the differences that a diverse workforce brings, representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and we're delivering multiple diversity, equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment.
We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.
Videos To Watch
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