Compliance Manager Financial Promotions Compliance Manager Financial Promotions …

Badenoch + Clark
in London, United Kingdom
Permanent, Full time
Last application, 23 Feb 21
Negotiable
Badenoch + Clark
in London, United Kingdom
Permanent, Full time
Last application, 23 Feb 21
Negotiable
A global investment manager is looking for a Compliance Manager, experienced in financial Promotions, to cover a team members maternity leave from March.
A global investment manager is looking for a Compliance Manager, experienced in financial Promotions, to cover a team members maternity leave from March.

The primary purpose of this position is to provide support, advice and training to the business functions of the group entities detailed above on regulatory rules, principles and legislative requirements connected to the creation and distribution of sales and marketing material.
The position requires the holder to review and approve sales and marketing material prior to public issue to strict regulatory, business and compliance standards and in accordance with agreed deadlines.
Whilst working as part of the EMEA Compliance function and reporting the Director, EMEA Compliance, this position will work closely with the Marketing and Go to Market (GTM) teams. As part of the wider Compliance function, the position will also be required to lead on other regulatory topics. The role will be based in Russell Investment's London office.
Core responsibilities:
Regulatory & Business Conduct:
*Display exemplary conduct and live by our organisation's Code of Conduct.
*Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct across the business
*Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance
Review & Approval of Financial Promotions:
*Work closely with the Marketing and Go to Market (GTM) teams in EMEA and Globally
*Working to regulatory requirements, review, challenge (as necessary) and approve sales and marketing material falling within the definition of Financial Promotions
*Administer systems used to track and record sales and marketing material as it transitions through the regulatory approval process
The hiring manger is keen to move quickly as the current incumber goes off maternity leave in March. If interested, please complete the cover sheet attached along with your most recent CV.

Badenoch + Clark acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. Badenoch + Clark UK is an Equal Opportunities Employer.

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