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Wealth & Asset Management
Sales & Marketing
A reputable Asset Management firm in London is currently looking for a Financial Promotions, Compliance Manager to join their Compliance team. This role is responsible for ensuring that all Investment Management materials adhere to high standards and comply with all relevant legal and regulatory requirements.
As the Compliance Manager, your main responsibilities will include:
Review and approve all marketing materials to ensure compliance with all relevant legal and regulatory requirements, keeping records of these materials and the approval process.
In particular, ensure that marketing material does not constitute investment recommendations as defined in the Market Abuse Regulation.
Coordinating reviews of marketing materials with external stakeholders
Involvement in training to the marketing teams
Ensuring relevant marketing and investment teams comply with MiFID II
The successful incumbent will have:
Experience of working in the asset management industry in a legal or compliance role (circa 5 years)
Knowledge of investment funds and their operation
Understanding of investment markets and investment processes
Able to client focus and deep sense of professionalism
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