Assistant Compliance Manager (Sales & Marketing) | BNYM Asset Management International Ltd, London recruitment
Responsibilities
- Be available to contribute on all compliance matters pertinent to BNY Mellon Asset Management International and the Collective Investment Scheme Management Companies (UK, Dublin and Caymen) and particularly those matters focused on sales and marketing activities.
- Contribute to the design, development and execution of a risk based compliance monitoring approach across the BNY Mellon Asset Management International business activities.
- Sharing responsibility with the Sales and Distribution Team for the implementation of the compliance monitoring oversight programme for the sales and marketing activities of the business.
- Actively support the review of financial promotions.
- Liaise with European Offices on the sales and marketing activities within each market.
- Ensure that the asset management and distribution activities undertaken by BNY Mellon Asset Management International are in compliance with FSA and other relevant regulations.
- Implement (and revise if necessary) the existing compliance monitoring oversight programme covering the sales and marketing activities. This includes leading, scoping and reporting of reviews and supporting the review of the AMI European Offices.
- Support the Senior Compliance Manager and the Sales and Distribution Team in the review and approval of marketing documents issued by BNY Mellon Asset Management International, ensuring that they satisfy relevant regulatory requirements.
- Review in local language the sales and marketing material that is produced by the European Offices.
- Keep the Senior Compliance Manager Sales and Distribution informed at all times of all relevant compliance issues.
- Provide compliance trainings, particularly in respect of financial promotions and sales regulations to the business as required.
- Engage in ad-hoc project/product development work within the business and provide compliance input as required.
- Maintain awareness of regulatory and industry developments.
Technical Skills, Knowledge, Systems Knowledge (and associated skill level)
- Some experience in compliance, ideally with experience of UCITS and non-UCITS CIS and a background in asset management sales/marketing compliance.
- Financial Promotions experience is essential
- Good knowledge of the FSA COBS Sourcebook
- Good interpersonal and communication (oral and written, including report writing) skills.
- Attention to detail and ability to work to tight deadlines.
- A team player
- Sound knowledge of Word and Excel.
- Language skills; preferable Spanish or Italian.
- Graduate-level preferred
February 14, 2012
• Tags: Asset Management careers in the UK, Assistant Compliance Manager (Sales & Marketing) | BNYM Asset Management International Ltd, London recruitment • Posted in: Financial