Compliance Advisory Manager NEW

IG Index Limited

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.