Distribution Compliance Advisory




Permanent, Full Time

£70,000 – 90,000


Distribution Compliance Advisory


The Distribution Advisory team primarily partner with the Distribution Team focusing on three core areas, Product, Marketing and Sales. The role supports all three areas and it is anticipated that there will be a focus on Product development/management and Sales.

Key Tasks:

  • Provide timely, solutions driven regulatory advice and challenge to the Distribution Activity;
  • Provide advice on Financial Promotion rules, approve or provide regulatory input into marketing material;
  • Periodic review of the EMEA Regulatory Change Framework;
  • Liaise with North America and Asian teams to advise on regulatory issues and support the wider business;
  • General compliance function for the German office (policies, regular training of staff, etc).


James Thompson Financial Risk & Operations

For more information, contact James.Thompson@eximius.com or 0207 648 6926.

Click on the images to connect with James on Linkedin.



Compliance, Finance

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