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Senior Manager
2 months ago
We are seeking a highly skilled Senior Manager to join our Client Group Compliance team in the UK. As a key member of our team, you will be responsible for providing strategic leadership and guidance on Marketing Compliance matters to global Compliance colleagues.
Key Responsibilities- Provide Compliance advice and guidance to supported business areas on regulatory rules and expectations in relation to financial promotions, client communications, fund offering documents, social media content, and approval processes.
- Manage the review and approval of financial promotions and coordinate on approach, guidance, and processes within EMEA and with global Compliance teams.
- Identify regulatory training requirements within Marketing and Communications (and Product teams). Devise and deliver training to meet identified training requirements.
- In conjunction with the regulatory change team, identify, analyze, and track regulatory change affecting Marketing and Communications (and Product teams), and communicate to impacted business areas as appropriate.
- Participate in the scoping and performing of Compliance Monitoring reviews in relation to defined areas of activity, as agreed in the annual compliance monitoring programme.
- Ensure that complaints, breaches, and other errors relevant to Marketing and Communications (and Product teams) are appropriately identified, escalated, and resolved.
- Review and provide guidance on Marketing and Communications (and Product teams') policies and procedures to ensure that relevant regulatory requirements are met.
- Assist with the performance of other compliance-related activities and projects as required.
- Relevant Compliance / Asset Management experience working within the UK regulatory or EEA environment.
- Leadership and people management skills.
- Ability to demonstrate and evidence strong commitment to Compliance and essential underlying values.
- Strong technical skills and knowledge of both retail and institutional distribution activities and asset management products.
- Confident in dealing with people at all levels, and comfortable with giving presentations and training.
- Proficient in use of Excel, Word, Outlook, and the internet.
We recognize potential, whoever you are. Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought, facilitated by an inclusive culture, will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer. You are welcome here, regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristic.
