Compliance – Financial Promotions
A Major US Fund Manager is looking for a Financial Promotions Specialist at VP level. This is a high profile and exciting role and the candidate must possess sufficient knowledge and experience to be able to deal a wide range of products and complex issues.
Responsibilities include:
• Providing regulatory advice to the asset management business on the preparation and marketing of financial promotions and providing compliance sign off within the marketing approval process. This will include retail, intermediary and institutional promotions.
• Advising on the marketing of alternative products and offshore private placement requirements.
• Assisting with Marketing and Compliance initiatives on a global basis.
• Involvement with the preparation and delivery of financial promotion training across the business.
• Maintain a clear set of compliance advertising standards and the values to be applied.
• Review and oversee policy development where applicable, but in particular within the area of financial promotion.
• Analysing the impact of new regulations to assist the business in its preparation for regulatory changes.
• Maintain an up to date knowledge of the regulatory environment and an awareness of the changing mediums used for promotions, e.g. social media, website marketing, digital marketing
• As a member of the Advisory Compliance team, there will also be scope for involvement and input into wider compliance issues arising across the business.
• Ensuring adequate records are maintained in order to provide trends/metrics and analysis
Specific Requirements
• Good academic or professional qualifications.
• Proven experience in a compliance marketing role either within Legal or Compliance Department or within a regulator in relation to asset management products and services.
• An excellent working knowledge of financial promotion regulation within UK Retail market is desired as well as and offshore marketing.
• A good working knowledge of equity, fixed income and alternative products (e.g. private equity, real estate) is required.
• Specific expertise with web casts, client events and press articles.
• Ability to work within a team
• Strong written and oral communication at all levels within the business
• Self-motivated and a willingness to learn and develop new skills
• Attention to detail and good organisation skills
Leave a Reply
You must be logged in to post a comment.