Compliance Officer, Marketing

Found in: Talent UK C2 - 2 weeks ago

London, United Kingdom La Salle University Full time

#LI-DNI

Team Background The new Compliance Officer will join LaSalle’s Legal and Compliance Team especially supporting the newly established and globally centralized team to produce and review marketing materials within the Global Marketing and Communications team reporting to the Global General Counsel and as matrix to the Global Head of Marketing and Communications. This role will be based in the LaSalle London office to cover best the multiple global time zones of our offices.

Role Overview: This is a new role and will be responsible for providing initial legal and brand compliance review for LaSalle’s suite of marketing material. The successful candidate will demonstrate excellent collaboration and stakeholder management skills, working closely with a wide range of stakeholder groups. The role requires a self-starter with a hands-on approach and expertise in providing compliance advice for marketing materials.

Responsibilities: Establish a close working relationship with stakeholders across the business to become a trusted partner able to contribute to business goals using excellent compliance and industry knowledge. Primarily focused on the creation and review of product marketing materials and other communications initiatives. Stakeholders includes central Product Marketing, Corporate Marketing, Product Development, Investor Relations, Global Funds Team and global and regional Legal and Compliance teams.

Deliverables include:

Manage the global Compliance review for marketing materials

Provide initial of all global marketing materials (pitchbooks, fliers, pipeline decks, deal decks, overview decks) to comply with regional marketing rules (ESMA, US, Asia), LaSalle standards and market requirements (in cooperation with regional compliance teams).

Support initial compliance review of investor RFPs and DDQs.

Central point of contact to coordinate the global compliance review and approval process with regional Compliance teams.

Create Brand Compliance

Ensure that marketing materials are in line with LaSalle’s brand guidelines.

Act as a brand guardian, support consistency in visual identity and tone of voice.

Knowledge Management

Coordinate, initiate and work on regular updates of the (existing) marketing libraries (general disclaimer and jurisdictional notices) published on the corporate intranet platform.

Support and educate LaSalle’s teams with recent developments and updates of marketing rules on a global basis (in cooperation with regional Legal & Compliance).

Tracking and monitoring global registration/passporting of products in the “Global fund matrix”

Maintaining database of marketing advice received in relation to specific jurisdictions and issues.

Support the EU marketing process (pre-marketing notifications, application of EU passports), mainly handled by Lux legal team.

Required Qualifications & Experience:

Expertise in fund marketing compliance (commingled funds, SMA and one off-deals)

At least four years’ experience from working in-house for an investment manager, or within an international law firm, e.g., as paralegal.

Organized, methodical, pro-active and able to work independently.

Bachelor's degree in a related discipline with a keen interest in financial markets; Law degree or equivalent preferred.

Demonstrated strategic and innovative thinking skills with the ability to see the big picture, while also being able to drive projects from development to completion.

Strong desire to learn and develop.

Develop and maintain strong professional relationships with internal and external stakeholders.

Possess excellent communication skills.

Must be proficient in Microsoft Office applications.

Periodic travel as necessary

LaSalle is an Equal Opportunity Employer and encourages applications from all sections of the community

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This position may require you to be fully vaccinated against COVID-19. If required, you’ll be asked to provide proof that you’re fully vaccinated upon your start date. You’re considered fully vaccinated two weeks after you receive the second dose of a two-dose vaccine series (e.g., Pfizer or Moderna) or two weeks after a single-dose vaccine (e.g., Johnson & Johnson/Janssen). Failure to provide proof of vaccination may result in termination. 

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