AMI Senior Compliance Manager Job
AMI Senior Compliance Manager (Job Number: 1311464)
Description
BNY Mellon AMI is a London-based UK asset management subsidiary of The Bank of New York Mellon Corporation. BNY Mellon AMI's dedicated professionals provide world class, multi-lingual Sales, Marketing and Client Service to investor s which include some of the world's largest pension funds and institutions, local authorities, treasuries and family offices.
Job Purpose
* Provide advice and support to the AMI business on all relevant compliance matters relating to its' distribution activities (and those of its' associates) in the UK, Continental Europe and Latin America.
* Take lead in co-ordination of Compliance review of relevant sales and marketing collateral and other documentation issued or executed by AMI in respect of collective investment schemes managed in UK, Ireland, Luxembourg and Cayman, and also institutional segregated account business.
* To take a lead role in the design, development and execution of the risk-based compliance monitoring programme, primarily in respect of AMI's activities in the above regions, and of implementation of associated compliance policies and procedures.
* Provide support to the Senior Compliance Manager on execution of key compliance projects and initiatives.
Responsibilities
* Assist the Senior Compliance Manager in managing relationships with key business stakeholders within the AMI sales and marketing teams and support functions.
* Manage day-to-day compliance workflow relating to sales and marketing collateral, co-ordinating with the various marketing channel teams to prioritise items and providing advice and guidance to more junior members of the team as needed.
* Review of sales and marketing collateral for both professional and retail client audience, either as initial or second reviewer to ensure compliance with FCA financial promotions rules and equivalent regulations in other markets within the EMEA region.
* Review of legal agreements, where required, in particular distribution agreements, rebate letters and other commercial arrangements.
* Where required, manage relationship with one or more local country office to provide dedicated compliance support, including regular liaison meetings with the country head and staff in the offices, internal and external legal counsel and review of correspondence and publications from the local competent authority.
* Make active contribution to business initiatives and projects requiring Compliance input. Manage and execute compliance-led projects relating to regulatory developments and/or changes to compliance policies and procedures.
* Provide assistance to support of Compliance contribution to internal governance committees, board reports and other forum, including collation of statistical information and other management information.
* Alternate for the Senior Compliance Manager as required, in particular in providing compliance representation at meetings, day-to-day decision-making and escalation of issues to the Head of Compliance.
* Demonstrate constant awareness of regulatory and industry developments and the potential impact to AMI and the associated fund management companies.
Core Competencies
* Enhancing Organizational Talent
* Embracing Change
* Client Orientation
* Developing Partnerships
* Driving for Results
* Decision Making
* Global Awareness
Job Specific Competencies
* Good interpersonal and communication (oral and written, including report writing) skills
* Attention to detail and ability to work to tight deadlines
* A team player
Qualifications
Technical Skills, Knowledge, Systems Knowledge (and associated skill level)
* Experience in financial promotions and retail funds compliance, ideally both UCITS and non-UCITS CIS
* Good knowledge of the FSA COLL and COBS Sourcebook (the financial promotion rules in particular where the COBS is concerned)
* Sound knowledge of Word and Excel
Academic/Professional Qualifications (or equivalent qualifiers)
* Degree level educated
Primary Location: United Kingdom-United Kingdom-Greater London-London
Internal Jobcode: 50343
Job: Audit/Compliance/Risk
Organization: BNYMAM International-HR06161
Leave a Reply
You must be logged in to post a comment.