As Marketing Compliance Manager, you will be integral to the success of our marketing and distribution
strategy.
You will be responsible for the review of marketing, sales and product materials to ensure compliance
with the firm s policies and various regulatory requirements across multiple jurisdictions.
You will work with the firms Compliance Advisory team to ensure you are applying all appropriate
regulatory requirements and you will co-ordinate with content owners to provide guidance on these
requirements and continuously improve the marketing compliance processes.
You will operate within a team of Marketing Compliance professionals based in the UK and the US. The
transatlantic structure will require development of US regulatory knowledge.
The Marketing Compliance team sits within our Business Risk and Governance team.
What will you do?
Take responsibility for overseeing regulatory marketing compliance reviews of the firms
marketing, sales and client communication materials
Review all content including thought leadership, advertising& sales literature and other marketing
materials ensuring that all relevant firm requirements and regulations are met
Review all product and sales materials including fund marketing material and client specific
reporting, ensuring that all relevant firm requirements and regulations are met
Manage and ensure compliance requirements are met for digital properties
Carry out checks of the control framework, escalating and documenting any findings
Serve as marketing compliance SME within the firms business
Develop relationships with sales, marketing partners, and content owners, including
communicating the design and operational efficiency of controls
Work with 2 nd line of defense to maintain Compliance Policy, serve as point person within the 1 st
line for internal and external audits
Tracking to resolution any remedial actions.