Compliance Marketing Specialist

2 days ago

London, Greater London, United Kingdom Brookfield Asset Management Full time
Job Description

Brookfield Asset Management is seeking a highly skilled Compliance Marketing Specialist to play a key role in the regulatory marketing review process. As a member of our team, you will be responsible for reviewing and approving marketing materials, advertisements, and educational content to ensure compliance with regulatory requirements.

Key Responsibilities:
  • Review and revise marketing materials, advertisements, and educational content to ensure compliance with regulatory requirements, including ESMA Marketing Guidelines, SEC New Marketing Rule, and FINRA marketing regulations.
  • Assist in monitoring and tracking regulatory developments in EMEA and APAC regions and communicate changes to the team.
  • Maintain relevant procedures and provide advice and training to colleagues on regulatory matters related to marketing issues.
  • Assist with projects to streamline processes, including the use of system-based approvals, and incorporate new communication techniques in the marketing lifecycle.
  • Stay up-to-date on industry developments affecting marketing and sales materials across various media and communicate changes to internal clients.
  • Identify legal and reputational risks, manage external counsel and compliance service providers, and collaborate with legal and regulatory personnel to ensure alignment of legal and regulatory approach.
Requirements:
  • 5-8 years of compliance-related experience with a focus on review of marketing materials at an asset manager or comparable entity.
  • Experience working with various asset classes and investment strategies, funds, and separately managed accounts.
  • Strong understanding of applicable marketing and advertising requirements under the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, FINRA, FCA, MAS, and ESMA.
  • Excellent communication skills, client-service orientation, and ability to multi-task and prioritize deadlines.
  • Proven track record of operating within an asset management environment and knowledge of global asset management legal and regulatory compliance, risk management, and industry policy best practices.

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