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Compliance Marketing Manager

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Wealth & Asset Management
Sales & Marketing
Job Reference T3A/AXP/26342
Contact Adam Pollard
Date posted 26-06-2017

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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Contact Adam about this job

Associate, Consultant