Reviews and identifies potential regulatory issues relating to sales and marketing materials generated by multiple business units. Presents business unit associates with the results of reviews and recommended actions.
Provides direction and acts as a subject matter expert for the business units in helping to ensure their compliance with regulatory requirements. Identifies potential issues outside regulatory matters and refers to the relevant subject matter expert for input.
Responds to regulatory inquiries from business units relating to sales and marketing activities and ensures the firm's policies, procedures, and guidelines are communicated and adhered to.
Contributes to the creation of internal manuals, policies and procedures to ensure consistent and sound practices are adhered to within each business unit.
Assists the International Communications Compliance Manager (EMEA) in the design of controls, process improvements and other tasks to ensure the maintenance of an efficient review process.
In the absence of the Sr Manager of Communications Compliance, assume day-to-day oversight of the international communications review process for EMEA.
PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS:
5 years Asset management/investment firm experience
Demonstrated professional in area of expertise
Detailed knowledge of UK and European regulations/regulatory regimes
Ability to build positive relationships with individuals at all levels
Excellent communication skills
Ability to influence individuals to take action
Methodical, with ability to work independently and as a team
Ability to interpret laws and regulations
Ability to represent the firm to regulatory agencies and industry bodies
French, Italian or German language speaker
Knowledge of Canada regulations/regulatory regimes