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Compliance Marketing Specialist

2 months ago

London, Greater London, United Kingdom Brookfield Asset Management Full time
Job Title: Compliance Marketing Specialist

Brookfield Asset Management is seeking a Compliance Marketing Specialist to play a key role in the Compliance regulatory marketing review process. The successful candidate will possess a strong working knowledge of European and U.S. regulatory requirements, including ESMA Marketing Guidelines, SEC New Marketing Rule, and FINRA marketing regulations.

Responsibilities:
  • Reviewing, revising, and approving financial promotions, advertisements, sales literature, and related marketing communication materials in accordance with company policies, FCA, MAS, and ESMA rules and other global regulations.
  • Assisting with the monitoring, tracking, and communicating developments in EMEA and APAC regulations and market practices as they relate to marketing activities.
  • Assisting with the maintenance of relevant procedures and providing advice and training to businesses and Compliance colleagues in the respective jurisdictions on regulatory matters pertaining to marketing issues.
  • Assisting with projects intended to streamline processes, including the use of system-based approvals, and incorporating new communication techniques in the marketing lifecycle.
  • Keeping current on industry developments affecting marketing and sales materials across various media and communicating to and advising internal clients of changes in applicable rules and regulations.
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 all types of equity, fixed income, credit, and alternative asset classes and investment strategies, funds, and separately managed accounts.
  • Good understanding of applicable marketing and advertising-related 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.
What We Offer:
  • A dynamic and challenging role in a leading asset management company.
  • Opportunities for professional growth and development.
  • A collaborative and supportive work environment.