Financial Promotions Oversight Manager – Overseas Fund Regime

Financial Promotions Oversight Manager – Overseas Fund Regime (OFR)Join to apply for the Financial Promotions Oversight Manager – Overseas Fund Regime (OFR) role at Apex Group LtdFinancial Promotions Oversight Manager – Overseas Fund Regime (OFR)10 hours ago Be among the first 25 applicantsJoin to apply for the Financial Promotions Oversight Manager – Overseas Fund Regime (OFR) role at Apex Group LtdThe Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers.Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion.That’s why, at Apex Group, we will do more than simply ‘empower’ you. We will work to supercharge your unique skills and experience.Take the lead and we’ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.For our business, for clients, and for youAVP, Financial Promotions Oversight Manager – Overseas Fund Regime (OFR)Department: Third Party Delegate & Distributor OversightReports to: Head of Investment Management OversightLocation: Hamilton Centre, Rodney way, Chelmsford CM1 3BYPurpose of the Role:You will manage and deliver an effective Overseas Fund Regime (OFR) Oversight programme for Apex FundRock Ltd and FundRock Partners Ltd (together “Apex FundRock”) OFR service to meet its regulatory and contractual obligations. The Financial Promotions Oversight Manager will lead and manage the review, approval and ongoing monitoring of financial promotions relating to overseas funds marketed into the UK under the FCA’s Overseas Funds Regime. You will be responsible for ensuring all financial promotions are fair, clear, and not misleading, and comply with applicable FCA rules, Consumer Duty obligations, and internal governance framework. The role involves monitoring regulatory developments, ensuring adherence to the Overseas Funds Regime (OFR) and collaborating with internal teams, external clients and regulatory bodies where required.Key ResponsibilitiesFinancial Promotions Review & ApprovalAct as the primary approver of financial promotions for OFR-registered funds in accordance with COBS 4 and applicable FCA rulesEnsure promotions meet the “fair, clear and not misleading” requirements with appropriate disclosures, risk warnings and target market criteriaReview and check promotional materials aligns with the authorised investment and objectives and fund documentation.Maintain audit record of approval rationale, version control, and timestamps for each promotionRegulatory Compliance & Oversight:Ensure overseas funds comply with the UK Overseas Funds Regime (OFR) and other relevant cross-border fund regulations.Monitor, interpret, and implement regulatory updates affecting the registration, marketing, and distribution of overseas funds.Develop and maintain oversight policies and procedures related to internal framework for financial promotion governance aligned with OFR and other relevant UK regulatory frameworks.Conduct compliance reviews and risk assessments to ensure continued adherence to regulatory obligations.Provide constructive and accurate feedback following review of documentation ensuring that required amendments are made.Ensure policies reflect the latest regulatory updates, including those related to the Consumer Duty and overseas schemesConsumer Duty OversightEmbed Consumer Understanding principles in the review, approval and testing of financial promotionsEnsure financial promotions supports informed decision making where retail investors are targeted.Fund Registration & Distribution Support:Manage fund registration and ongoing regulatory reporting obligations under the OFR and similar international regimes.Liaise with local regulators, legal advisors, and fund administrators to ensure smooth approvals and compliance.Oversee the preparation and submission of regulatory filings and documentation for fund registrations.Ensure marketing materials and investor disclosures comply with applicable regulations.Stakeholder Collaboration & Advisory:Act as the subject matter expert for overseas fund regulations, advising internal and external stakeholders, including client’s legal, and marketing, distribution, and product teams.Provide training to internal stakeholders on regulatory requirements related to overseas funds.Engage with regulators, industry associations, and compliance networks to stay informed of regulatory developments.Monitoring & Reporting:Establish and maintain monitoring frameworks for live and archived promotion materials (KIID, factsheets, third-party distributors)Conduct periodic compliance audits and assessments.Prepare regulatory reports for senior management and regulatory authorities as required.Investigate and address any post-approval breaches, required updates, withdrawal/escalation procedures for non-compliant materialsRequired Experience & Skills:Qualifications & Experience:Bachelor’s degree in law, finance, business, or a related field.Relevant professional qualifications (e.g., CISI Diploma in Investment Compliance, ICA Certificate / Diploma, CFA, or legal background) preferred.Minimum 5 years of experience in Compliance, Regulatory Oversight or Marketing Compliance role within asset management, fund administration, or financial services.Strong knowledge and of the FCA’s financial promotion rules, including Consumer Duty and COBS/COCON rulesSpecific knowledge and awareness of the Overseas Funds Regime (OFR), AIFMD, UCITS and cross border fund distribution regulationsExperience reviewing and signing off retail and professional client communicationsExperience liaising with regulatory authorities such as the FCA, CSSF, ESMA, and working with overseas fund providers, fund passporting regimes or distribution platforms.Skills & Competencies:Strong knowledge of fund registration, marketing compliance, and regulatory reporting requirements.Excellent analytical, problem-solving, and attention-to-detail skills.Ability to interpret and apply complex regulatory requirements practically.Strong communication skills, with the ability to engage with internal and external stakeholders.Attention to detail with the ability to apply compliance knowledge in the assessment of accuracy and suitability of documentation.Ability to work independently and manage multiple priorities.Experience of taking the initiative to solve problems and also of working as a team to meet common objectives.Self-motivated and able to work without close supervision.Good communication skills.Ability to assimilate issues and recommend appropriate corrective action.Ability to raise and communicate complex issues accurately and succinctly to staff at all levels. Preferred Experience:Experience with regulatory change projects related to fund distribution.Knowledge of compliance technology and regulatory reporting systems.Exposure to fund governance and risk management frameworks.Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.Seniority levelSeniority levelMid-Senior levelEmployment typeEmployment typeFull-timeJob functionJob functionMarketing and SalesReferrals increase your chances of interviewing at Apex Group Ltd by 2xSign in to set job alerts for “Promotions Manager” roles.Chatham, England, United Kingdom £45,000.00-£55,000.00 1 month agoWidford, England, United Kingdom 3 weeks agoBasildon, England, United Kingdom 3 days agoHertford, England, United Kingdom 2 days agoLittle Hadham, England, United Kingdom 1 day agoChelmsford, England, United Kingdom 2 weeks agoColchester, England, United Kingdom 22 hours agoChelmsford, England, United Kingdom 4 weeks agoLittle Hadham, England, United Kingdom 1 month agoProduct Marketing Manager, Laser BusinessHatfield Broad Oak, England, United Kingdom 1 year agoRomford, England, United Kingdom 1 day agoChelmsford, England, United Kingdom 1 month agoColchester, England, United Kingdom 3 days agoWaltham Abbey, England, United Kingdom 21 hours agoDrunk Elephant & Shiseido Multi Brand Counter Manager - Sephora, Bluewater (30 Hours)Dartford, England, United Kingdom 1 week agoColchester, England, United Kingdom 2 weeks agoRomford, England, United Kingdom 3 weeks agoKey Account Manager - Strategic Enterprise SolutionsWaltham Forest, England, United Kingdom 2 weeks agoDartford, England, United Kingdom 4 weeks agoColchester, England, United Kingdom 1 week agoWitham, England, United Kingdom 1 week agoAdvanced Products & Solutions Europe OEM CAM (Customer Account Manager)Harlow, England, United Kingdom 2 weeks agoField Sales Development Manager - Aspirational Go-Getters for #1 Marketing AgencyRochester, England, United Kingdom 2 weeks agoSpecialist Sales Account Manager - LondonWest Ham, England, United Kingdom 2 months agoDelivery Partner Manager, UK/IE Delivery Partner ManagersEnfield, England, United Kingdom 2 weeks agoStratford, England, United Kingdom 18 hours agoBishop's Stortford, England, United Kingdom £13.50-£13.50 4 weeks agoHarlow, England, United Kingdom 2 weeks agoHarlow, England, United Kingdom 1 week agoGreenhithe, England, United Kingdom 1 month agoWe’re unlocking community knowledge in a new way. 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