Assistant Vice President - Marketing Compliance

Bachelor's 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, excellent communication skills.

Qualifications

- Bachelor's 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

Principal responsibilities:

- 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.

- Typical Targets and Measures

- Adherence to Risk, Compliance, Global Standards and FCC requirements.

- No high risk or repeat audit points.

- All material breaches logged in required timescales and timely updates provided. Risk Acceptance process adhered to where appropriate and as per DIM requirements

Management of Risk:

- Adheres to processes and controls to identify and mitigate risks and ensures timely escalation of control issues and reputation risks.

- Demonstrates a strong understanding on regulatory and compliance matters. Maintains awareness of risk and minimizes the likelihood of it occurring through its identification, assessment, mitigation and control.