Marketing Compliance Manager (Factsheets)

 Location: London
 Salary: £70000
 Job type: Permanent
 Closes: closed

Marketing Compliance Manager

 

Meraki Talent has been engaged to recruit an exciting opportunity to join a tier one asset management institution in London as a Marketing Compliance Manager. The successful appointee will have autonomy for fund factsheet contact sign off – this role is not initially required to manage a team.

  • Skills Required
  • Review and update existing compliance policies and procedures in line with applicable regulatory requirements and industry best practices, working in partnership with the compliance team and key stakeholders
  • Administer the marketing material review and approval system.
  • Review UK and international materials and support the Approval of financial promotions across EMEA including ETFs, ICVCs and SICAV for Retail and Investment Professional audience serving as first line of defence for marketing team.
  • Act as marketing compliance champion. Conduct compliance training for team members relating to regulatory requirements and industry best practices to facilitate the creation and use of marketing materials.
  • Establish processes to monitor and test compliance with marketing-related compliance policies and procedures, and regulatory requirements on a risk assessed basis.
  • Help refine and prepare regular risk control assessments.
  • Manage first line compliance process to ensure that customers are provided with clear information, before, during and after the point of sale.
  • Manage relationship with compliance team to ensure optimum linkages between first and second line of defence.

 

 

  • Good regulatory knowledge including FCA COBS rules on Financial promotions MiFID II, UCITS IV, FUND, CASS, AIFMD, GDPR, KIID relevant rules.

Previous experience:

  • Approving financial promotions for a financial services firm in UK, Europe and Asia for both retail and investment professional audience, including raising challenges on content, presentation and process.
  • Ability to analyse and assess the current state, identify gaps and develop plans for continuous improvement. Leading meetings, communicating succinctly with senior stakeholders and influencing.

 

This is a fantastic opportunity to work for a highly reputable asset management institution where your efforts and skills will be immediately recognised and appreciated across the business.

 

Meraki Talent values diversity in our own workforce and we actively support our clients to build diverse and inclusive workplaces. For all our roles, both internal and those on behalf of our clients, we welcome enquiries from everyone

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Associate Director

Craig Rumball


Craig is a talented and highly experienced City recruiter who has a demonstrable track record of completing mid-to-senior level assignment for clients across Asset Management, Wealth Management and Ratings firms.