Compliance Marketing Specialist

6 days ago

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

Job Title: Compliance Marketing Specialist

Job Summary:

We are seeking a highly skilled Compliance Marketing Specialist to join our team at Brookfield Asset Management, Inc. The successful candidate will play a key role in the Compliance regulatory marketing review process, ensuring that all marketing, advertising, and educational materials, as well as client communications and other similar documentation and materials, are compliant with regulatory requirements.

Key Responsibilities:

  • Review and approve 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.
  • Assist with monitoring, tracking, and communicating developments in EMEA and APAC regulations and market practices as they relate to marketing activities.
  • Assist with maintaining relevant procedures and providing advice and training to businesses and Compliance colleagues in the respective jurisdictions on regulatory matters pertaining to marketing issues.
  • Assist with projects intended to streamline processes, including the use of system-based approvals, and incorporating new communication techniques in the marketing lifecycle.
  • Keep current on industry developments affecting marketing and sales materials across various media and communicate to and advise internal clients of changes in applicable rules and regulations and their effect on the materials.
  • Identify legal and reputational risks, manage external counsel and compliance service providers, and collaborate with legal and regulatory personnel and teams at Brookfield and its affiliates as needed to ensure alignment of legal and regulatory approach.

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, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA, and non-U.S. regulatory requirements under the FCA, MAS, and ESMA.
  • Solid understanding of global asset management legal and regulatory compliance, risk management, and industry policy best practices.

What We Offer:

  • A dynamic and collaborative work environment.
  • Opportunities for professional growth and development.
  • A competitive compensation and benefits package.

Brookfield Asset Management, Inc. is an equal opportunity employer.

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