Marketing Materials– Holiday cover recruitment
Responsibilities with specific emphasis on two main areas of responsibility:
Bank Loan Business: Information Barrier Maintenance and Control
• Primary point person in maintaining Information Barriers for Bank Loan Business:
- Liaising with the portfolio management team to understand the business flow and their intentions with respect to prospective bank loan deals;
- Acting as contact point for bank loan arrangers who provide information on new deals;
- Determining in accordance with firm policies and legal guidance what information can be passed to the portfolio management teams;
- Responsible for the operation of procedures designed to ensure public information only is passed on to portfolio management where they wish to remain public on a security.
- Responsible where portfolio management wish to have sight of information in private bank loan books, but wish to remain public on the security, for the proper assessment, review and deletion of potentially price sensitive information from private bank loans information prior to any information being passed to portfolio management.
- Maintaining records of information received, assessed and forwarded;
- Ensuring that all appropriate legal/contractual arrangements for the receipt of information are understood and completed where appropriate;
- Ensuring that the firm’s restricted list and other appropriate Wall arrangements are properly maintained and updated.
- Producing timely and relevant management information
Review and Approval of Marketing Materials
• Primary point person in undertaking a compliance review of marketing materials:
- Timely approval of presentations
- Provide clear guidance to marketers around what can be marketed in which jurisdictions
- Provide timely and relevant management information.
- Deliver training and advice on all marketing / RFP related issues
- Work with marketing teams to standardise materials and increase business ownership of compliance issues.
- Ad-hoc assistance to global marketing colleagues on cross border issues.
- Working with global colleagues to develop and implement global standards
Assist in the coordination and fulfilment of compliance monitoring
Assist as part of Regulatory Compliance team in:
- Fulfilling Compliance monitoring programme and maintain monitoring files that support and evidence completion of daily, monthly, quarterly, half-yearly, and annual monitoring tests.
- Developing and delivering timely compliance monitoring MI that identifies key issues, trends, and recurring issues across both the quarterly monitoring and regulatory monitoring programmes.
- Timely production and issuance of compliance certificates for sign off by Deputy Compliance Officer
- Maintaining files of supporting information on completed and issued confirmations
Ideally the candidate will have the following requirements
- Previous Legal and Compliance experience desirable
- A clear, detailed, logical and organised approach to work with excellent record keeping essential
- Ability to work with minimal levels of supervision
- The ability and willingness to follow a process is important. The successful applicant will also be driven, intelligent and have an enquiring mind
- Must foster a strong working relationships with colleagues in both the UK and US
- Must be willing to develop a strong commitment to the team’s professional standards and client service orientation
- Ability to liaise at all levels
July 14, 2012
• Tags: Asset Management careers in the UK, Marketing Materials– Holiday cover recruitment • Posted in: Financial