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Interim Compliance Assistant Manager – Financial Promotions

Information About This Job

Job Title: Interim Compliance Assistant Manager – Financial Promotions
Contract Type: Temporary
Location: London
Industry:
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 24 days ago

Job Description

We are looking to hear from experienced compliance professionals for a new and exciting opportunity with a London based asset management firm, who are looking to appoint an Interim Compliance Assistant Manager.

 

About The Role

The Compliance team in the UK comprises approximately 30 employees who oversee all of the business activities in the UK, Europe, Latin America, Middle East and Africa.

The mission of the Compliance Department is to promote and encourage adherence to the regulatory obligations and rules to which management and staff are subject.  The aim is to assist the group in developing a culture where its business is conducted within both the letter and spirit of the applicable laws and regulations in the interests of customers and to minimise the risk of reputational damage or regulatory sanction.  In achieving these objectives will manage relationships with regulators, provide advice and guidance to business partners, monitor the activities performed by the group and provide training when required.

The department is separated into distinct areas: Distribution Compliance; Investment Management Compliance, Core Compliance, Regulatory Developments and Financial Crime, all of which report directly to the Global Head of Compliance EMEA.

 

Key Responsibilities

The primary purpose of the role would be to ensure that Financial Promotion and marketing material created within the firm complies with the relevant rules and regulations both within the UK and the countries of destination before they are published and used.

  • Supporting the compliance manager in ensuring that the Distribution department complies with all relevant rules and regulations in relation to Financial Promotions and other marketing material in the EMEA Region;

  • Ensure that financial promotions meet all conduct outcomes but particularly in respect to clarity, quality and service so that customers are appropriately informed and given reasonable expectations of product outcomes.

  • Work collaboratively with the Marketing & Distribution teams to understand their needs and to deliver effective and efficient service solutions and improvements.

  • Review retail and professional financial promotions and other material (advertising campaigns, website content, marketing emails, social media campaigns, presentations, etc….) prior to publication and use by the distribution business;

  • Assist the compliance manager in ensuring that jurisdictional financial promotions  obligations are known and complied with;

  • Assume additional duties in relation to Distribution Compliance as assigned.

  • Possible assistance on project based financial promotion and marketing reviews

 

Skills & Experience

 

  • Good understanding of the FCA financial promotion rules and other regulations;

  • Experience of reviewing financial promotion and other marketing material for asset management firms;

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  • Fund / product knowledge is desirable;

  • European language, (particularly German) knowledge would be advantageous.

  • Ability to work under minimal direct supervision;

  • Strong communication skills;

  • Ability to work to time critical deadlines;

  • Teamwork: the ability to work with the team and internal and external stakeholders

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Ref: | Published: 23 Jan 2019