Assistant Manager Financial Promotions Compliance
The jobholder's responsibilities will include:
* First point of contact for the relevant marketing departments
* Approving Financial Promotions in a timely manner
* Ensuring that Financial Promotions are compliant with the relevant regulations for the jurisdictions they are to be used in. The firm carries out marketing activities in many jurisdictions, including the UK and US.
* Providing advice to the relevant marketing departments both reactively and proactively
* Identifying and assisting with any training requirements relevant for the marketing teams
* Production of Management Information reports relating to Financial Promotions
* Carrying out regular monitoring assessments in relation to Financial Promotions and other client communications
* Maintaining and updating The firm's standard disclaimers used in marketing material
* Maintaining a close relationship with Marketing and Sales contacts
* Assist with Compliance team reporting to committees and Boards as and when requested
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
Please only apply if you have the relevant skills.
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