AddressWhat you will need to succeed in the role:
- Degree in finance, business, law or a related field
- Strong experience in asset management compliance, with a focus on financial promotion content
- Understanding of regulatory requirements for financial promotions in the asset management industry
- Ability to interpret and apply the regulatory requirements w.r.t the financial promotion content.
- Excellent communication and interpersonal skills to work effectively with different teams and stakeholders
- Ability to work independently and manage multiple tasks in a fast-paced environment
- Strong attention to detail and ability to analyze complex information
- Experience working with Regulatory Compliance professionals and responding to inquiries or requests for information
What you'll do :
Principal Accountabilities:
Key activities and decision making areas:
- Complete the compliance review and approval process for the complete life-cycle of all financial promotion content across Asset Management - including self-compliance and Regulatory Compliance (RC) approval coordination at the Point of Manufacture (POM), Point of Distribution (POD) and Point of Customization (POC)
- Review all financial promotion content produced by various teams across the business, and ensure all content is clear, comply with regulatory requirements and internal policies
- Add the appropriate disclaimers and disclosure to all approved financial promotion contents
- Publish approved documents to global and local content repositories (including Seismic)
- Contribute to the maintenance a full library of disclaimer/disclosure for all markets and all investment strategies (in agreement with RC) maintenance
- Contribute to the maintenance Global Compliance Checklist (in agreement with RC)
- Manage ongoing Compliance Training & Testing for all Content Owners, Marketing, Client Business and Customisation teams (in agreement with RC)
- Update disclaimer/disclosure library, Global Compliance Checklist and Compliance Training & Testing to ensure all financial promotions reflect these changes
- Conduct regular audits of financial promotions including quarterly quality check (review of samples of documents) to identify areas for improvement and ensure ongoing compliance
- Support localisation of financial promotions for all markets by align master documents with local regulatory requirements (phase 2)
- Typical Targets and Measures
- No avoidable operational losses as a result of advice/guidance from the team or inadequate oversight or intervention. Regulatory censure avoided or where unavoidable, mitigated
- Timely production of MI required for meetings
- Applicable standards, policies and procedures developed and implemented.
- Ensure that relevant standards, policies and procedures meet regulatory needs and are clearly understood by stakeholders.
- Clear, accurate and timely advice provided.
- Adverse consequences arising from Regulatory Compliance breaches/issues are managed and wider lessons for the control environment are learned, as appropriate.
- Operational Effectiveness & Control
- Understands, follows and demonstrates compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business.
- Understand the Treating Customers Fairly (TCF) principles, AM's TCF philosophy
