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Financial Promotions Compliance Manager



Accounting & Finance, Legal
London, UK
Posted on Wednesday, June 12, 2024

Archax is an FCA-regulated exchange, broker and custodian for digital assets, targeted at professional and institutional clients. Our services cover all types of digital assets – from cryptocurrencies to NFTs to digital securities – as well as traditional financial instruments too. Our vision is to develop a truly digital capital markets ecosystem that bridges traditional and crypto markets, leveraging tokenisation and blockchain/DLT/Web3.0 technologies.

*** This is an office based role, you must be able to commute to and work in the City of London as a norm***

Compliance Manager (Financial Promotions) – reporting to Chief Compliance Officer

To provide a key point of contact between the Marketing business lines and Compliance. The individual will provide strategic input and expertise into the production of marketing materials and develop and manage the firm’s third-party financial promotions approval service. The individual will also sponsor relevant projects through to implementation. This role would suit an enthusiastic team member who is confident in interpreting regulations and creating and implementing new processes and procedures.

Compliance Manager (Financial Promotions) covering the following areas:

  • To be the primary Compliance point of contact for all technical queries and regulatory matters relating to marketing and distribution;
  • To manage the firm’s third-party financial promotions approval service;
  • To manage the firm’s FCA Variation of Permission application for s.21 approvals;
  • Provide advice, guidance and training to the business in relation to current and emerging regulations in respect of product distribution and marketing, including cross border activities;
  • To sponsor the development of workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials;
  • To provide support, training and guidance to the business in regard to financial promotions;
  • Assist in the development of management information to track marketing approvals and assess the effectiveness of producing quality documentation;
  • Assist in the maintenance and revision of applicable policies and documents;
  • Assist the Compliance monitoring team with periodic compliance monitoring reviews relevant to production of marketing materials;
  • Assist the business with the preparation and compilation of regulatory reports and summaries to various committees of the Board and Senior Management, as required

Knowledge and Experience Required:

  • At least 5-7 years relevant experience, preferably gained in financial services or regulatory environment;
  • Financial Promotions experience skills, knowledge and expertise.

Other required Skillsets:

  • Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing knowledge desirable;
  • Energetic personality with the drive to effect change and develop relationships across all levels of the Company;
  • Strong written and verbal communication skills;
  • Strong organisational skills and following up on agenda items;
  • Strong analytical skills including problem solving and solution-orientated thinking;
  • Able to use initiative, work unsupervised and comfortable taking responsibility;
  • Energetic personality with the drive to effect change and develop relationships across all levels of the business;
  • Degree or relevant industry qualifications – desirable.


  • Competitive salary
  • Discretionary bonus
  • Company pension scheme
  • Comprehensive private healthcare scheme
  • 25 days holiday, increasing by one day each year (up to 30 days)
  • Additional day off for your birthday
  • The chance to be part of an entrepreneurial, exciting, fast-growing, and future thinking company
  • Opportunities to attend events and represent Archax and its’ vision
  • Encouragement and support in your personal career development and industry knowledge

Archax is an equal opportunities employer and places a high value on diversity and inclusion. We do not discriminate based on any attribute.

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