Compliance Associate

So, who 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.

Your role in the team’s success

We are looking for a bright motivated associate with a keen interest in financial services regulation to join the Compliance Advisory Team in London.

This role holder will provide accurate and timely advice to a fast-paced, dynamic trading and investing company on regulatory and conduct matters. The focus of the role will be on the key elements of COBS particularly (but not limited to) financial promotions policy and approvals, disputes and complaints handling, and advice & oversight related to other elements of the FCA handbook, such as product governance, transparency, suitability and appropriateness, and communications with clients.

You will be supported by an experienced team to develop your expertise in these areas as well as being given opportunities to and will work closely with other teams, such as Marketing, Sales, Trading and Financial Crime Compliance.

What You’ll Do

• Review and approval of financial promotions and client communications
• Complaints investigations and responses
• Updating of compliance policies related to retail regulation
• Reviewing the results of Compliance Assurance and Monitoring work
• Advising the UK front line teams including Marketing, Trading Services and Sales.
• Provision of timely, accurate advice on regulatory and conduct matters to a range of business teams
• Contributing to commercially driven or operational projects related to compliance across our product offering

What You’ll Need For This Role

• 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.

Bonus if you have

• Familiarity with UK regulation and regulatory framework, and other handbook areas such as Client Money & Assets, Product Governance, Training & Competence, SMCR & FIT.
• Ability to manage stakeholder relationships across the business / front line.

How We Work

We try to take a thoughtful approach to our ways of working as a company. We follow a hybrid working model with 3 days in the office – which we think balances the need to collaborate effectively and connect with each other. When it comes to how we deliver, there are 5 things we want everyone to do to drive high performance, better learning and career satisfaction:

• Lead and Inspire: Drives trust, alignment, and enthusiasm
• Think Big: Focus on the problems that most impact commercial outcomes
• Champion the client: Understand and prioritise client's needs
• Deliver at pace: Push for fast, sustainable growth;
• Raise the bar: Take ownership, be accountable and share feedback

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 approach here.

The Perks

Your growth fuels our success! Thrive with tailored development programs, mentoring opportunities with leaders, and clear career progression. Expand your network through committees, sports and social clubs. Enjoy extra time off for volunteering and community work.