Job Title: Compliance Advisory Manager Overview This role sits within our Line 2 Compliance function, responsible for providing independent review, advice, and constructive challenge to ensure regulatory and conduct risks are effectively identified, assessed, and managed in line with risk appetite and regulatory obligations. The role has specific accountability for reviewing and approving financial promotions to ensure compliance with FCA and other applicable regulatory requirements, while supporting the business to deliver marketing and client communications in a timely and commercially effective way. Responsibilities Advisory, Review & Constructive Challenge Provide independent Line 2 review, advice, and challenge on product, customer, and strategic initiatives, including new products, product changes, market expansion, and distribution developments. Independently assess compliance and conduct risks arising from evolving business activities and ensure appropriate controls are designed and implemented. Partner with business stakeholders to enable commercial initiatives while ensuring regulatory obligations and client protections are met. Financial Promotions Review & Approval Review and approve financial promotions and client communications to ensure compliance with FCA requirements, including FCA Principles for Businesses, Consumer Duty, COBS, and the financial promotions rules under FSMA. Provide timely and pragmatic compliance advice on marketing campaigns, product promotions, digital content, social media communications, and client-facing materials. Apply sound judgement to balance regulatory requirements with commercial priorities and risk appetite. Manage high volumes of reviews, often under tight deadlines, while maintaining quality and regulatory standards. Advisory & Stakeholder Support Work closely with marketing, product, and commercial teams to provide practical compliance guidance throughout campaign and product development. Support business teams in developing compliant marketing strategies and communications from the outset rather than late-stage remediation. Provide constructive challenge where communications or promotions may create regulatory or conduct risk. Governance, Controls & Continuous Improvement Support enhancement of financial promotions governance, processes, and controls to improve consistency and efficiency of reviews. Maintain strong records and oversight of approvals and escalations in line with internal governance requirements. Support identification of recurring issues and contribute to improvements in marketing and communications practices. Training & Capability Development Support delivery of training and education to marketing and business teams to strengthen understanding of financial promotions requirements and expectations. Provide ongoing coaching and guidance to stakeholders to build stronger first-line capability and reduce rework. Contribute to development of guidance and best-practice materials for marketing and product teams. Qualifications 5-8 years' compliance experience within financial services, with strong experience reviewing and approving financial promotions. Strong technical expertise in UK financial promotions regulation and conduct requirements, including FCA rules and Consumer Duty expectations. Experience working with marketing and product teams in fast-paced environments with tight delivery timelines. Strong understanding of financial products, ideally including trading or investment products. Bachelor's degree in Law, Business, Finance, Economics or related field. Acts with integrity and consistently demonstrates high professional and ethical standards. Delivers high-quality work with energy, accountability, and a strong sense of urgency. Commercial and solutions-focused, enabling growth while maintaining strong compliance and client protection. Committed to continuous improvement in controls and ways of working. Communicates clearly and manages stakeholders effectively. Collaborates constructively while providing confident and effective challenge. Demonstrates sound judgement and resilience. Comfortable working from IG's London office a minimum of three days per week. Diversity & Inclusion 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, and we encourage applications from people with diverse backgrounds and experiences to join us on this journey. Benefits 12% Flexible Benefits Package over and above your base salary, and wide variety of pension, insurance and medical plans to choose from. Participation in our annual performance based bonus scheme. Matched giving for your fundraising activity. Flexible working hours and work-from-home opportunities. Career-focused technical and leadership trainings in-class and online, including unlimited access to LinkedIn Learning platform. A day off on your birthday. Two days' volunteering leave per year. Regular coaching and development sessions with senior leadership to optimise your leadership impact and identify growth opportunities.
Aug 22, 2026
Full time
Job Title: Compliance Advisory Manager Overview This role sits within our Line 2 Compliance function, responsible for providing independent review, advice, and constructive challenge to ensure regulatory and conduct risks are effectively identified, assessed, and managed in line with risk appetite and regulatory obligations. The role has specific accountability for reviewing and approving financial promotions to ensure compliance with FCA and other applicable regulatory requirements, while supporting the business to deliver marketing and client communications in a timely and commercially effective way. Responsibilities Advisory, Review & Constructive Challenge Provide independent Line 2 review, advice, and challenge on product, customer, and strategic initiatives, including new products, product changes, market expansion, and distribution developments. Independently assess compliance and conduct risks arising from evolving business activities and ensure appropriate controls are designed and implemented. Partner with business stakeholders to enable commercial initiatives while ensuring regulatory obligations and client protections are met. Financial Promotions Review & Approval Review and approve financial promotions and client communications to ensure compliance with FCA requirements, including FCA Principles for Businesses, Consumer Duty, COBS, and the financial promotions rules under FSMA. Provide timely and pragmatic compliance advice on marketing campaigns, product promotions, digital content, social media communications, and client-facing materials. Apply sound judgement to balance regulatory requirements with commercial priorities and risk appetite. Manage high volumes of reviews, often under tight deadlines, while maintaining quality and regulatory standards. Advisory & Stakeholder Support Work closely with marketing, product, and commercial teams to provide practical compliance guidance throughout campaign and product development. Support business teams in developing compliant marketing strategies and communications from the outset rather than late-stage remediation. Provide constructive challenge where communications or promotions may create regulatory or conduct risk. Governance, Controls & Continuous Improvement Support enhancement of financial promotions governance, processes, and controls to improve consistency and efficiency of reviews. Maintain strong records and oversight of approvals and escalations in line with internal governance requirements. Support identification of recurring issues and contribute to improvements in marketing and communications practices. Training & Capability Development Support delivery of training and education to marketing and business teams to strengthen understanding of financial promotions requirements and expectations. Provide ongoing coaching and guidance to stakeholders to build stronger first-line capability and reduce rework. Contribute to development of guidance and best-practice materials for marketing and product teams. Qualifications 5-8 years' compliance experience within financial services, with strong experience reviewing and approving financial promotions. Strong technical expertise in UK financial promotions regulation and conduct requirements, including FCA rules and Consumer Duty expectations. Experience working with marketing and product teams in fast-paced environments with tight delivery timelines. Strong understanding of financial products, ideally including trading or investment products. Bachelor's degree in Law, Business, Finance, Economics or related field. Acts with integrity and consistently demonstrates high professional and ethical standards. Delivers high-quality work with energy, accountability, and a strong sense of urgency. Commercial and solutions-focused, enabling growth while maintaining strong compliance and client protection. Committed to continuous improvement in controls and ways of working. Communicates clearly and manages stakeholders effectively. Collaborates constructively while providing confident and effective challenge. Demonstrates sound judgement and resilience. Comfortable working from IG's London office a minimum of three days per week. Diversity & Inclusion 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, and we encourage applications from people with diverse backgrounds and experiences to join us on this journey. Benefits 12% Flexible Benefits Package over and above your base salary, and wide variety of pension, insurance and medical plans to choose from. Participation in our annual performance based bonus scheme. Matched giving for your fundraising activity. Flexible working hours and work-from-home opportunities. Career-focused technical and leadership trainings in-class and online, including unlimited access to LinkedIn Learning platform. A day off on your birthday. Two days' volunteering leave per year. Regular coaching and development sessions with senior leadership to optimise your leadership impact and identify growth opportunities.
IG Index Limited invites an experienced Compliance Advisory Manager to join the Prime (Institutional) team in London. You will act as the primary compliance advisory contact, guiding institutional activities and ensuring regulatory standards are met while balancing commercial goals. You will review financial promotions, contribute to product/platform developments, and monitor regulatory changes. This role requires strong stakeholder engagement and on-site presence in London at least three days
Jul 30, 2026
Full time
IG Index Limited invites an experienced Compliance Advisory Manager to join the Prime (Institutional) team in London. You will act as the primary compliance advisory contact, guiding institutional activities and ensuring regulatory standards are met while balancing commercial goals. You will review financial promotions, contribute to product/platform developments, and monitor regulatory changes. This role requires strong stakeholder engagement and on-site presence in London at least three days
Compliance Advisory Manager, Prime (Institutional) Job Description Who are we? IG is a FTSE 100 fintech operating across five continents, serving over 1.3m customers and handling billions of dollars in transactions - built on scale, trust, and proof. We didn't pivot to innovation; it's how we've always operated. What that means for the people who work here is real: genuinely complex problems to solve, the technology and resources to tackle them properly, and the kind of scope that's rare in established businesses. The bar is high - bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG - the future gets built here. What's the role? This role sits within our Line 2 Compliance function and is responsible for providing first-line support and advice to the Prime business - IG's institutional and professional client offering. Acting as its primary compliance advisory contact, the role works closely with various stakeholders including Risk, Finance, Operations and Legal and partners day-to-day with the Prime desk. Reporting to the Head of Compliance Advisory, you will provide expert compliance advice, guidance and challenge to institutional business teams, ensuring regulatory standards are met, while balancing commercial objectives and risk appetite. You should be able to work in a multi-dimensional business environment that is heavily client focused and organise your time to deal with real-time issues, as well as delivering on a diverse project workload. What will you do? Act as the primary compliance advisory contact for the Prime team, providing timely, practical, and risk-proportionate regulatory advice on institutional business activities. Review and approve financial promotions relating to Prime and institutional products, ensuring content is fair, clear, and not misleading and meets regulatory standards. Provide compliance input into new product or platform development and change initiatives affecting the Prime business, identifying regulatory requirements and risks early and shaping mitigations into design. Advise on the regulatory treatment of institutional and professional client activity, including client categorisation, onboarding, and conduct-of-business requirements. Monitor relevant regulatory developments affecting institutional and Prime business models and translate changes into clear guidance and action for the business. Build and maintain strong working relationships with Prime desk heads and business stakeholders, embedding compliance as a trusted partner rather than a gatekeeper. Undertake horizon-scanning, thematic reviews, and ad hoc regulatory projects relevant to institutional business. Maintain accurate records of advice given, financial promotion approvals, and project sign-offs to evidence compliance oversight. Provide ongoing coaching and guidance to stakeholders to build stronger first-line capability and reduce rework. What will you need for this role? To succeed in this role, we think you'll need: Experience & Education At least 5-8 years' compliance experience within financial services, with strong experience in advising a Prime, institutional or professional client/DMA desk. Strong technical/regulatory expertise in areas typically associated with Prime/institutional business as well as wider FCA rules such as COBS, CASS, MAR, MiFID II and EMIR ReFIT as they apply to institutional and professional client business. Experience working with various trading desks in fast-paced environments with tight delivery timelines. Strong understanding of financial products, ideally including trading or investment products. Bachelor's degree in Law, Business, Finance, Economics or related field. Personal Attributes Acts with integrity and consistently demonstrates high professional and ethical standards. Delivers high-quality work with energy, accountability, and a strong sense of urgency. Commercial and solutions-focused, enabling growth while maintaining strong compliance and client protection. Committed to continuous improvement in controls and ways of working. Communicates clearly and manages stakeholders effectively. Collaborates constructively while providing confident and effective challenge. Demonstrates sound judgement and resilience. Comfortable working from IG's London office a minimum of three days per week. 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. What you'll get! This role will bring with it a range of development and growth opportunities which we hope are motivating for someone who wants to Raise the Bar. We focus on outcomes, not activity. Your success is measured by: Regulatory risk on the Prime business being sufficiently managed and monitored. This includes ensuring Prime activities consistently meet regulatory standards while supporting timely business delivery. Efficient and pragmatic compliance support enables commercial growth while protecting clients and the firm. Strong collaboration and trust built with business and control stakeholders. High individual performance and engagement. Number of openings 1 Looking for a career at a company that will support you, challenge you and help you grow? IG Group can provide that. IG Group is a FTSE 100 fintech operating across five continents, serving over 1.3m customers and handling billions of dollars in transactions - built on scale, trust, and proof. We didn't pivot to innovation; it's how we've always operated. What that means for the people who work here is real: genuinely complex problems to solve, the technology and resources to tackle them properly, and the kind of scope that's rare in established businesses. The bar is high - bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG - the future gets built here.
Jul 30, 2026
Full time
Compliance Advisory Manager, Prime (Institutional) Job Description Who are we? IG is a FTSE 100 fintech operating across five continents, serving over 1.3m customers and handling billions of dollars in transactions - built on scale, trust, and proof. We didn't pivot to innovation; it's how we've always operated. What that means for the people who work here is real: genuinely complex problems to solve, the technology and resources to tackle them properly, and the kind of scope that's rare in established businesses. The bar is high - bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG - the future gets built here. What's the role? This role sits within our Line 2 Compliance function and is responsible for providing first-line support and advice to the Prime business - IG's institutional and professional client offering. Acting as its primary compliance advisory contact, the role works closely with various stakeholders including Risk, Finance, Operations and Legal and partners day-to-day with the Prime desk. Reporting to the Head of Compliance Advisory, you will provide expert compliance advice, guidance and challenge to institutional business teams, ensuring regulatory standards are met, while balancing commercial objectives and risk appetite. You should be able to work in a multi-dimensional business environment that is heavily client focused and organise your time to deal with real-time issues, as well as delivering on a diverse project workload. What will you do? Act as the primary compliance advisory contact for the Prime team, providing timely, practical, and risk-proportionate regulatory advice on institutional business activities. Review and approve financial promotions relating to Prime and institutional products, ensuring content is fair, clear, and not misleading and meets regulatory standards. Provide compliance input into new product or platform development and change initiatives affecting the Prime business, identifying regulatory requirements and risks early and shaping mitigations into design. Advise on the regulatory treatment of institutional and professional client activity, including client categorisation, onboarding, and conduct-of-business requirements. Monitor relevant regulatory developments affecting institutional and Prime business models and translate changes into clear guidance and action for the business. Build and maintain strong working relationships with Prime desk heads and business stakeholders, embedding compliance as a trusted partner rather than a gatekeeper. Undertake horizon-scanning, thematic reviews, and ad hoc regulatory projects relevant to institutional business. Maintain accurate records of advice given, financial promotion approvals, and project sign-offs to evidence compliance oversight. Provide ongoing coaching and guidance to stakeholders to build stronger first-line capability and reduce rework. What will you need for this role? To succeed in this role, we think you'll need: Experience & Education At least 5-8 years' compliance experience within financial services, with strong experience in advising a Prime, institutional or professional client/DMA desk. Strong technical/regulatory expertise in areas typically associated with Prime/institutional business as well as wider FCA rules such as COBS, CASS, MAR, MiFID II and EMIR ReFIT as they apply to institutional and professional client business. Experience working with various trading desks in fast-paced environments with tight delivery timelines. Strong understanding of financial products, ideally including trading or investment products. Bachelor's degree in Law, Business, Finance, Economics or related field. Personal Attributes Acts with integrity and consistently demonstrates high professional and ethical standards. Delivers high-quality work with energy, accountability, and a strong sense of urgency. Commercial and solutions-focused, enabling growth while maintaining strong compliance and client protection. Committed to continuous improvement in controls and ways of working. Communicates clearly and manages stakeholders effectively. Collaborates constructively while providing confident and effective challenge. Demonstrates sound judgement and resilience. Comfortable working from IG's London office a minimum of three days per week. 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. What you'll get! This role will bring with it a range of development and growth opportunities which we hope are motivating for someone who wants to Raise the Bar. We focus on outcomes, not activity. Your success is measured by: Regulatory risk on the Prime business being sufficiently managed and monitored. This includes ensuring Prime activities consistently meet regulatory standards while supporting timely business delivery. Efficient and pragmatic compliance support enables commercial growth while protecting clients and the firm. Strong collaboration and trust built with business and control stakeholders. High individual performance and engagement. Number of openings 1 Looking for a career at a company that will support you, challenge you and help you grow? IG Group can provide that. IG Group is a FTSE 100 fintech operating across five continents, serving over 1.3m customers and handling billions of dollars in transactions - built on scale, trust, and proof. We didn't pivot to innovation; it's how we've always operated. What that means for the people who work here is real: genuinely complex problems to solve, the technology and resources to tackle them properly, and the kind of scope that's rare in established businesses. The bar is high - bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG - the future gets built here.
IG Index Limited is seeking a Compliance Advisory Manager in Greater London. The role involves reviewing financial promotions to ensure compliance with FCA regulations and supporting business initiatives while managing compliance and conduct risks. Candidates should have 5-8 years of compliance experience, strong technical expertise in financial promotions regulation, and effective communication skills. The position offers a flexible benefits package, career training, and a commitment to diversity and inclusion.
Jul 26, 2026
Full time
IG Index Limited is seeking a Compliance Advisory Manager in Greater London. The role involves reviewing financial promotions to ensure compliance with FCA regulations and supporting business initiatives while managing compliance and conduct risks. Candidates should have 5-8 years of compliance experience, strong technical expertise in financial promotions regulation, and effective communication skills. The position offers a flexible benefits package, career training, and a commitment to diversity and inclusion.