Financial Promotions Compliance Manager
Our client a global asset manager covering Equities and fixed incomes funds as well as real estate requires a Compliance Manager to specialise in Financial Promotions. This role has a global coverage and so cross border financial promotions experience is a distinct advantage.
The role will require the successful candidate to;
• Responsibility for carrying out the day-to-day regulatory sign off of marketing materials
• Monitor volumes, analyse content of marketing material produced and prepare management information
• Oversee self certification programme
• Conduct periodic monitor as part of the Business Development Compliance monitoring programme
• Provide regulatory training and guidance to Business Development teams
• Provision of day-to-day compliance advice across Business Development
• Key source of relevant and practical compliance advice, assistance and support to business units
• Review of fund documentation in conjunction with the internal legal team
• Recommend procedural improvements
• Support the development and enhancement of controls as necessary
• Support the wider compliance team.
• Ensure that significant issues are escalated appropriately
• Production of feedback and training to staff/management in relation to Regulatory or procedural changes connected with financial and non-financial promotions.
• Provide assistance for the execution of compliance monitoring activities.
To be considered for this role it is essential that you possess financial promotions compliance experience gained within Asset Management, covering institutional clients. The company try to ensure that all employees are continually developed and challenged and so you must be flexible to picking up other tasks and enjoy working closely with stakeholders across the business and wider compliance.
To find out more please call Stephen Borner at Hays on 02034650110.
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