Compliance Marketing Specialist

4 weeks ago

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

Brookfield Asset Management, Inc. is seeking a Compliance Marketing Specialist to play a key role in the Compliance regulatory marketing review process. Based in London, the Compliance Marketing Specialist will be part of the team responsible for reviewing all marketing, advertising and educational materials, and client communications and other similar documentation and materials related to those Brookfield and Oaktree Advised Funds that are wholesaled by BOWS and its registered and associated persons globally (collectively, Brookfield Marketing Materials). This role will focus on material used in EMEA and APAC region. The successful candidate will possess a strong working knowledge of European and U.S. regulatory requirements including, but not limited to ESMA Marketing Guidelines, SEC New Marketing Rule and FINRA marketing regulations and general familiarity with the Investment Company Act. Key responsibilities include reviewing, revising and approving a wide variety of financial promotions, advertisements, sales literature and related marketing communication materials in accordance with company policies, FCA, MAS and ESMA rules and other global regulations prior to distribution or use. The Compliance Marketing Specialist will also assist with the monitoring, tracking and communicating developments in EMEA and APAC regulations (and market practices) as they relate to marketing activities. Additionally, the role will involve assisting with the maintenance of relevant procedures and the provision of advice and training to businesses and Compliance colleagues in the respective jurisdictions on regulatory matters pertaining to marketing issues. The Compliance Marketing Specialist will also assist with projects intended to streamline processes, including the use of system-based approvals, and incorporating new communication techniques in the marketing lifecycle. The ideal candidate will have 5-8 years of compliance related experience with a focus on review of marketing materials, at an asset manager or comparable entity, is preferred. Experience working with all types of equity, fixed income, credit and alternative asset classes and investment strategies, funds and separately managed accounts. A good understanding of the applicable marketing and advertising related requirements under the Investment Company Act of 1940, Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA, and solid understanding of non-U.S. regulatory requirements under the FCA, MAS and ESMA. The Compliance Marketing Specialist will be a strong team player who is inquisitive, self-motivated, industrious and prepared to constructively challenge the status quo. Ability to multi-task and prioritize deadlines; results-oriented. Excellent communication skills and client-service orientation. A proven track record of operating within an asset management environment. Knowledge of global asset management legal and regulatory compliance, risk management, and industry policy best practices. The Compliance Marketing Specialist will be detail orientated, able to set priorities and complete simultaneous projects. Good verbal and written communication skills, and the ability to deal with individuals at all levels of seniority. The ideal candidate will enjoy challenges created by innovation, especially in the manufacturing of new investment products or entry into new markets. The Compliance Marketing Specialist will critically analyze, identify potential risks and strive to propose solutions. Knowledge of cross-border fund marketing, particularly of AIFs and/or UCITS, is preferred. Strong academic background: degree or equivalent. Brookfield is committed to maintaining a Positive Work Environment that is safe and respectful; our shared success depends on it. Accordingly, we do not tolerate workplace discrimination, violence or harassment. We are proud to create a diverse environment and are proud to be an equal opportunity employer. We are grateful for your interest in this position, however, only candidates selected for pre-screening will be contacted.

  • Financial Markets Compliance Specialist

    4 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    **About Compliance Professionals**We are a reputable brokerage firm based in the City, seeking a highly skilled Financial Markets Compliance Specialist to join our team on an FTC basis.**Estimated Salary:** £60,000 - £80,000 per annum, depending on experience**Job Description:**Key ResponsibilitiesMonitor and address market surveillance alerts and...

  • Compliance Officer

    1 day ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is looking for a highly motivated Market Surveillance Officer to assist us in maintaining a fair and transparent financial market.Job Description:Assisting with the annual market abuse risk assessment.Reviewing and reporting on market surveillance alerts and electronic communications to identify suspicious behaviour.You will work...

  • Regulatory Compliance Specialist

    1 week ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team at Compliance Professionals.Job SummaryThe ideal candidate will have at least 5 years' experience in Compliance or Operations within financial services, preferably fund management and/or discretionary management environment. Strong appreciation of Compliance and...

  • Compliance Officer

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:Compliance Professionals seeks a skilled Compliance Officer - Financial Markets to join our team. The ideal candidate will have experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling or banking environment.Key Responsibilities:Develop and implement daily alert review and escalation processes for MAR...

  • Senior Compliance Specialist

    1 month ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Senior Compliance SpecialistWe are seeking a highly skilled Senior Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for providing management information and attending relevant internal meetings, responding to queries from across the business relating to SMCR matters, advising business...

  • Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a Compliance Specialist, you will play a key role in ensuring that our firm meets all regulatory requirements and maintains a strong compliance culture.The ideal candidate will have strong analytical skills, an eye for detail, and a drive to embrace greater responsibilities. You...

  • Email Marketing Specialist

    4 hours ago

    London, Greater London, United Kingdom EMR | Specialist in Marketing Recruitment Full time

    Email Marketing SpecialistEMR | Specialist in Marketing Recruitment is seeking a skilled Email Marketing Specialist to join its rapidly growing marketing team in London. As a key member of the team, you will be responsible for developing and executing email marketing initiatives that drive engagement and conversions.Main Responsibilities:• Collaborate with...

  • Compliance Director

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Compliance Director - Financial Crime SpecialistJob Summary:We are seeking a highly skilled Compliance Director to join our team at Compliance Professionals. The successful candidate will be responsible for expanding and developing our financial crime programme within the region.Key Responsibilities:Work within the region to expand and develop the...

  • Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Paritas Recruitment - Compliance Full time

    About the RoleThe Compliance Specialist will support the onboarding process and third-party risk management, focusing on Know Your Customer (KYC) while also assisting with broader aspects of the Compliance Programme, such as risk assessments, screening and training.Key ResponsibilitiesSupport the onboarding process and third-party risk management, with a...

  • Regulatory Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance ManagerThe Compliance Professionals are seeking a highly skilled Regulatory Compliance Specialist to join their London-based compliance team. This is a challenging and rewarding role that requires strong knowledge of regulatory requirements and compliance best practices.About the Role:This position plays a crucial role in ensuring adherence to...

  • Energy Market Compliance Specialist

    2 hours ago

    London, Greater London, United Kingdom SEFE Marketing & Trading Ltd Full time

    Job SummaryWe are seeking a highly skilled Energy Market Compliance Specialist to join our team in London. This role is responsible for accurately confirming physical Power, Gas, Environmental Products, Green Certificate, Derivative and FX trades with external Clients and Brokers.The ideal candidate will have a proven track record of regulatory reporting and...

  • Regulatory Affairs Specialist

    7 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Company OverviewWe are a global banking group, offering Corporate/Private Banking and Asset Management services in the UK market.About the RoleThis is an exciting opportunity to join our team as a Regulatory Affairs Specialist in the Compliance Monitoring department. As a key member of our team, you will play a vital role in ensuring adherence to regulatory...

  • Compliance Director

    24 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job TitleCompliance Director - Financial Crime SpecialistCompany OverviewOur client is a leading global investment management business with offices in the West End. We have been exclusively instructed to assist with their hire of a Compliance Director on a 13-month fixed-term contract.About the RoleThe Compliance Director will work within the region to...

  • Financial Markets Specialist

    5 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    As a key member of Compliance Professionals, you will be responsible for monitoring and closing market surveillance alerts and electronic communications to identify suspicious behaviour. Your role will also involve calibration and tailoring of monitoring systems to ensure that alerts are generated optimally.Responsibilities:Monitoring and closing of market...

  • Compliance Risk Specialist

    1 month ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Risk SpecialistWe are seeking a highly skilled Compliance Risk Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will be responsible for identifying and mitigating compliance risks across the firm.Key Responsibilities:Act as a key point of contact for compliance queries, ensuring all regulatory...

  • Compliance Monitoring Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

  • Compliance Associate Specialist

    3 hours ago

    London, Greater London, United Kingdom Sovos Compliance Full time

    At Sovos Compliance, we are seeking a talented Compliance Associate Specialist to join our team. As a key member of our growing Compliance Services team, you will play a crucial role in ensuring the accurate preparation and filing of IPT returns for our clients.The ideal candidate will possess excellent attention to detail, strong analytical skills, and the...

  • Regulatory Compliance Specialist

    5 hours ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionCompliance Professionals is seeking a highly skilled Regulatory Compliance Specialist to join our team.About the RoleThis exciting opportunity allows you to utilize your expertise in regulatory compliance to provide comprehensive advice on requirements and interpret complex regulatory changes. You will work closely with key stakeholders,...

  • Financial Crime Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Financial Crime Compliance SpecialistWe are seeking a highly skilled Financial Crime Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for performing compliance controls on the activity of the Company according to the Company's Financial Crime CMP.Key Responsibilities:Implement and update the...

  • Compliance Risk Management Specialist

    5 days ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Overview:The Compliance Manager will assist with managing a small team and will be 4 days in the office.Main Responsibilities:Ensure adherence to all applicable regulatory obligations by maintaining and enhancing the Compliance Monitoring Programme.Review and implement Compliance policies and procedures, including reconciliation of regulatory reporting...