Financial Promotions / Compliance Marketing Advisor Financial Promotions / Compliance Marketing  …

Morgan McKinley
in London, England, United Kingdom
Contract, Full time
Last application, 17 Feb 20
Negotiable
Morgan McKinley
in London, England, United Kingdom
Contract, Full time
Last application, 17 Feb 20
Negotiable
The role is to work within the Compliance team within the Marketing & Distribution Advisory Function. The team provides professional and timely marketing advice to the business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities.

Compliance Marketing Advisor / Financial Promotions Advisor

The Role:

To work within the Compliance team within the Marketing & Distribution Advisory Function. The team provides professional and timely marketing advice to the business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities.

Responsibilities:

  • Assist in the provision of Compliance Advice to the First Line risk and controls marketing team including:
  • Identification of Regulatory change impacting the businesses Marketing guidelines
  • Assist first line risk and Controls team in ensuring Guidance meets regulatory requirements
  • Interpreting regulation to form guidance for the business
  • Advising on new funds, products and jurisdictional changes
  • Liaise with other Compliance teams, particularly the Distribution team in the provision of high quality and consistent compliance advice
  • Be proactive and demonstrate well considered judgements
  • Proactively identify control weaknesses to assist the business in building compliant processes
  • Be creative and identify solutions to any challenges that may arise in executing the delivery of Compliance methodologies and approaches
  • Deputise for the Marketing Manager in meetings when required

Experienced Colleague:

  • Accountable for providing a quality service or product to customers and stakeholders, using skills/experience built through significant practical experience or training
  • For team leaders, accountable for ensuring the team the role supports is delivering a quality service or product
  • Works within established frameworks and procedures, with the freedom to interpret them to solve a range of problems
  • Delivers outputs that are clearly defined, using discretion over how to achieve them
  • Makes suggestions for improvements to the work of the team, based on previous experience and knowledge of similar situations

Essential Knowledge & Experience:

  • Experience of delivering Compliance advice in an asset management environment
  • Knowledge and awareness of UK and International marketing regulatory environment within the asset management industry

Personal Attribute/Personal Skills:

  • Proven ability to work autonomously using own initiative at pace
  • Ability to work outside of any set location and be flexible and adaptable to new ways of working
  • Expert level of knowledge in communications - verbally and written to all levels within the organisation

Stakeholder Management:

  • Work closely with the 2nd line Compliance Advisory teams; sharing knowledge and ensuring a coordinated and consistent approach in delivering Compliance advice to the first line
  • Work closely with the first line risk and controls team to understand their processes and systems to ensure that they are operating in a compliant manner
  • Develop positive and professional working relationships within the Risk & Compliance Departments, Group-wide Internal Audit and with peers throughout the firm
  • Work closely with the Compliance Framework & Operations team and the Compliance Strategy & Regulatory Development team to understand the impact of forthcoming legislative / regulatory change and the need to update Compliance policies and procedures
  • Maintain regular dialogue with Compliance teams across the business and wider group, including

Desirable Qualifications:

  • University degree (or equivalent)
  • Relevant Compliance qualification (e.g. International Compliance Association, Chartered Institute for Securities & Investment)
  • Relevant investment management qualification (e.g. Investment Management Certificate, Investment Operations Certificate)

Morgan McKinley is acting as an Employment Agency and references to pay rates are indicative.

BY APPLYING FOR THIS ROLE YOU ARE AGREEING TO OUR TERMS OF SERVICE WHICH TOGETHER WITH OUR PRIVACY STATEMENT GOVERN YOUR USE OF MORGAN MCKINLEY SERVICES.

Close
Loading...