Assistant Manager
The client a leadning fund management business are looking to add a specialist finacial promotions compliance person to the team.
Reporting to the Compliance Manager, your primary contact will be between the Compliance and Marketing department with regards to Financial Promotions and other client communications. You will review and approve Financial Promotions issued by the firm.
Responsibilities
1 Assistant Manager's role - responsible for assisting the Compliance Manager in the review and approval of Financial Promotions, ensuring turnaround times are met. This requires understanding the target audience and distribution channels of the communications.
2 Advisory role - act as a central point of reference and expertise regarding Financial Promotions. Provide advice proactively on Financial Promotion compliance matters in connection with both existing and new business proposals (liaising as necessary with the Compliance Manager).
3 Training role - promote awareness of regulatory 'training and competence' requirements, especially with regards to Financial Promotions. Contribute to line management's assessment of the Financial Promotion compliance training needs of the firms' staff. Assist with the identification of appropriate training arrangements including the provision of in-house training.
Candidate Profile
* Highest standard of honesty and integrity
* Ability to interpret rules, regulations, statutes etc. and to identify potential problems
* Pro-active and enquiring approach to actual and potential business activities
* Exercise initiative, lateral thinking and flexibility. Accuracy and attention to detail, with the ability to propose realistic recommendations
* Effective organisation and planning
* Good communication of regulatory requirements, business risks and resulting procedural recommendations at all levels
* Tenacity to progress critical issues in the face of opposition
* Good administration
* Confident communicator
* Good negotiation skills
Essential Experience
* Experience of compliance, a good working knowledge of the relevant rules and regulations and the fund management industry, especially in relation to Financial Promotions
* Approval of Financial Promotions being used in UK and other jurisdictions including Australia, Middle East, Far East, Europe and US
* Strong asset management product knowledge. Good understanding of Dublin UCITS and QIF regimes or similar investment products
Essential Skills/Knowledge/Competencies
* Compliance and industry related qualifications such as IAQ or IMC may be beneficial
* Essential experience of the FSA requirements for Financial Promotions. SEC knowledge in relation to advertising is desirable.
* Likely to have at least 3-5 years asset management industry experience
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