Marketing Compliance Officer for EMEA/APAC
3 weeks ago
London - One Canada Square, Level 25
Company Culture
At Brookfield, we foster a distinctive and vibrant culture. We seek individuals who are forward-thinking and whose values resonate with our Leadership Attributes: Entrepreneurial, Collaborative, and Disciplined. We are dedicated to nurturing our team members through challenging assignments and exposure to a variety of business sectors.
Position Overview
Brookfield Oaktree Wealth Solutions (BOWS) is in search of a Compliance Marketing Specialist to play a pivotal role in the regulatory marketing review process. This position will be integral to the team responsible for evaluating all marketing, promotional, and educational materials, as well as client communications and similar documentation related to Brookfield and Oaktree Advised Funds that are marketed by BOWS and its registered personnel globally. The focus will be on materials utilized in the EMEA and APAC regions.
The ideal candidate will have a comprehensive 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:
- Review, revise, and approve a diverse range of financial promotions, advertisements, sales literature, and related marketing communication materials in compliance with company policies and global regulations before dissemination.
- Assist in monitoring, tracking, and communicating updates in EMEA and APAC regulations and market practices relevant to marketing activities.
- Support the maintenance of pertinent procedures and provide guidance and training to business units and Compliance colleagues regarding regulatory matters related to marketing.
- Contribute to projects aimed at enhancing processes, including the implementation of system-based approvals and new communication techniques in the marketing lifecycle.
- Stay informed on industry developments impacting marketing and sales materials across various media, advising internal clients on changes in applicable rules and regulations.
- As the BOWS business expands, the Compliance responsibilities will evolve, offering opportunities to broaden knowledge and duties beyond marketing to include other aspects of Compliance monitoring, training, and advisory roles.
- Identify legal and reputational risks, manage external counsel and compliance service providers, and collaborate with legal and regulatory teams across Brookfield and its affiliates to ensure alignment of legal and regulatory strategies.
- 5-8 years of compliance experience with a focus on reviewing marketing materials, preferably within an asset management context.
- Experience with various asset classes, including equity, fixed income, credit, and alternative investments.
- Strong understanding of marketing and advertising regulations under the Investment Company Act of 1940, Investment Advisers Act of 1940, and related securities regulations.
- Solid knowledge of non-U.S. regulatory requirements under the FCA, MAS, and ESMA.
- A collaborative team player who is inquisitive, self-driven, and ready to constructively challenge existing practices.
- Ability to manage multiple tasks and prioritize effectively; results-oriented.
- Exceptional communication skills and a strong client-service orientation.
- Proven experience in an asset management environment.
- Knowledge of global asset management compliance, risk management, and industry best practices.
- Detail-oriented with the ability to prioritize and manage concurrent projects.
- Strong verbal and written communication skills, capable of engaging with individuals at all levels of seniority.
- Enjoys tackling challenges posed by innovation, particularly in developing new investment products or entering new markets.
- Able to critically analyze situations, identify potential risks, and propose effective solutions.
- Preferred knowledge of cross-border fund marketing, especially concerning AIFs and/or UCITS.
- Strong academic background: degree or equivalent.
We are proud to cultivate a diverse environment 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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