This firm is a major global asset manager with multi-billion dollar funds under management.
It is based in central City of London offices and can demonstrate a genuinely collegiate working environment
This role will report into the Deputy Head of Compliance
A full specification is available upon request however key areas will include :
Review financial promotions / marketing material destined for dissemination outside of the firm in accordance on policies and applicable European regulation.
Provide guidance and advice to stakeholders on the principles to observe for the elaboration of financial promotions / marketing material
Own and enhance the financial promotions approval framework, ensuring the framework remains appropriate for approval of both Professional and Retail content
Participate and provide input in the definition of rules to govern the process of review and approval of financial promotions / marketing material, taking into account evolutions in the regulatory landscape and emerging best practices.
Perform risk-based, effective and comprehensive compliance reviews of financial promotion, client reporting and other client communication templates and documents that require such a review
Participate when required in projects to refine the process of review and approval of marketing material and the tools used for this purpose, with an eye on maintaining and improving its efficiency
Experience on distribution and financial promotion matters, preferably within the Asset Management industry
Relevant industry qualification or degree (or equivalent)
Regulatory experience and/or experience of working in a compliance