Senior Marketing Compliance Manager – Asset Management

London (Greater)
11 Jan 2018
11 Feb 2018
Contract Type
Full Time

The Client-

A prestigious US Asset Manager are seeking to recruit a Senior Marketing Compliance Manager to lead upon the identification, research, analysis and provision of advice on all regulatory matters relating to sales and marketing materials generated by the firms business arms.

This Client does not provide sponsorship.

The role-

Reporting into the Global Head of Compliance Communications, your role will be to review complex international communications and provide consultative services on regulatory matters. Your duties including (but not limited to) –

  • Reviewing and identifying potential regulatory issues relating to sales and marketing materials generated by multiple business units
  • Providing direction and acting as a subject matter expert for the business units in helping to ensure their compliance with regulatory requirements
  • Responding to regulatory inquiries from business units relating to sales and marketing activities and ensures the firm’s policies, procedures, and guidelines are communicated and adhered to.
  • Contributing to the creation of internal manuals, policies and procedures to ensure consistent and sound practices are adhered to within each business unit.
  • Working alongside the Global Head of Compliance Communications in the design of controls, process improvements and other tasks to ensure the maintenance of an efficient review process.

Key Requirements-

  • At least 5 years regulatory experience gained in the Asset Management space
  • Detailed, technical knowledge of the UK and European regulations governing the Asset Management space
  • Degree educated
  • French, Italian or German language skills will be an advantage
  • Highly proficient at interpreting laws and regulation
  • Have excellent organisational, communication and presentation skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines