EMEA/APAC Compliance Marketing Analyst

3 weeks ago

London, Greater London, United Kingdom Brookfield Asset Management, Inc Full time
Location

London - One Canada Square, Level 25

Company Culture

At Brookfield, we foster a distinctive and vibrant workplace culture. We seek individuals who possess a long-term vision and whose values resonate with our Attributes of a Brookfield Leader: Entrepreneurial, Collaborative, and Disciplined. We are dedicated to nurturing our employees through challenging assignments and exposure to a variety of business sectors.

Position Overview

Brookfield Oaktree Wealth Solutions (BOWS) is on the lookout for a Compliance Marketing Specialist to take a pivotal role in the marketing review process concerning compliance regulations. This position will involve the assessment of all marketing, advertising, educational materials, and client communications related to Brookfield and Oaktree Advised Funds distributed by BOWS and its registered personnel worldwide. The focus will be on materials utilized in the EMEA and APAC regions.

The ideal candidate will have a robust understanding of European and U.S. regulatory frameworks, including but not limited to ESMA Marketing Guidelines, SEC New Marketing Rule, and FINRA marketing regulations, along with a general familiarity with the Investment Company Act.

Key Responsibilities:
  • Evaluating, modifying, and endorsing a diverse range of financial promotions, advertisements, sales literature, and related marketing communication materials in compliance with company policies and global regulations.
  • Supporting the monitoring and communication of developments in EMEA and APAC regulations as they pertain to marketing activities.
  • Assisting in the upkeep of relevant procedures and providing guidance and training to teams on regulatory matters related to marketing.
  • Contributing to projects aimed at optimizing processes, including system-based approvals and new communication techniques in the marketing lifecycle.
  • Staying informed on industry trends affecting marketing and sales materials across various media and advising internal clients on applicable rules and regulations.
  • As the BOWS business expands, the Compliance deliverables will evolve, providing opportunities to broaden knowledge and responsibilities beyond marketing compliance.
  • Identifying legal and reputational risks, managing external counsel, and collaborating with legal and regulatory teams to ensure compliance alignment.
Required Experience:
  • 5-8 years of compliance experience with a focus on marketing material review, preferably within an asset management context.
  • Experience with various asset classes and investment strategies.
  • Strong understanding of marketing and advertising regulations under the Investment Company Act and related legislation.
  • Comprehensive knowledge of non-U.S. regulatory requirements.
General Qualifications:
  • A collaborative team player who is inquisitive, self-driven, and willing to challenge conventional practices.
  • Ability to manage multiple tasks and prioritize effectively; results-oriented.
  • Exceptional communication skills and a client-service mindset.
  • Proven experience in an asset management environment.
  • Knowledge of global asset management compliance and risk management best practices.
  • Detail-oriented with the ability to manage concurrent projects.
  • Strong verbal and written communication skills, capable of engaging with individuals at all levels.
  • Enjoys navigating challenges presented by innovation, particularly in new investment products or market entries.
  • Able to critically assess risks and propose viable solutions.
  • Preferred knowledge of cross-border fund marketing.
  • Strong academic credentials: degree or equivalent.
Brookfield is committed to fostering a Positive Work Environment that is safe and respectful; our collective success relies on it. We do not tolerate workplace discrimination, violence, or harassment.

We take pride in creating a diverse workplace and are an equal opportunity employer. We appreciate your interest in this position; however, only candidates selected for pre-screening will be contacted.

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