Thursday, September 9, 2010

Communications Compliance Consultant - Job Code: CIK-1531

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The role holder will provide first line guidance for marketing communications including corporate pitches and 'above and below the line' campaigns, from ideas through to granting compliance approval.


Work collaboratively with key stakeholders to produce high quality customer communications (promotional, sales support, forms and Press Releases) that comply with FSA regulatory requirements, including the overarching principle of fair clear and not misleading communications, and meet corporate guidelines. 

Manage the sign off within the Marketing Resource Management (MRM) system to evidence authorization for use of all customer communications and to confirm for Financial Promotions that all applicable COBS requirements have been met.

Work closely with Group Compliance Regulatory Affairs to maintain a high level of current knowledge and technical skills to support proactive identification of key emerging issues impacting the drafting of customer communications and to feed into the production processes.

Maintain significant understanding of policy developments (FSA, ABI or other as required) which may impact on the production of customer communications and ensure they are communicated coherently and timeously to all key stakeholders in the development of customer communications within projects and developments.

Take responsibility for influencing the shape and structure of customer communications to ensure that customers’ information needs are met with delivery of a proportionate balance of risks and benefits.

Take a lead role in resolution of non-compliant customer communications, devising solutions to deliver efficient remediation and work cross-functionally to achieve required results.

Work with the Insight and Complaint teams to proactively identify key emerging customer concerns and feed into customer communication production processes to ensure that Treating Customer Fairly requirements are delivered.



• Strong, proven analytical and research skills in developing regulatory options and their application to financial services communications. 
• Detailed understanding of the regulatory and legislative framework applicable to financial services with detailed working knowledge and Conduct of Business rules.
• Ability to maintain momentum on multiple tasks and competing priorities.
• A track record of working well as a member of a team that is results driven.
• Strong oral and written communication skills, able to display flexibility of interpretation and intent to suit anticipated audience or recipient.
• Excellent knowledge of product range and how the company works.
• Ability to maintain focus and application to work in hand particularly attention to detail whilst working in a fast moving environment where priorities can change.
• A flexible and open-minded response to challenge and a confidence to think logically and coherently. 
• Preferably a graduate  or the job holder should have a minimum Higher English band B (or equivalent) and be prepared to obtain further qualifications e.g. CISI Certificate, IMC Diploma or similar.


• An excellent understanding of customer and business needs, knowledge of marketing tools and techniques

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