Compliance Marketing Specialist

TN United Kingdom; London; On-site; GBP 60,000 - 100,000; Full time

Job description

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Brookfield Oaktree Wealth Solutions (“BOWS”) is seeking a Compliance Marketing Specialist to play a key role in the Compliance regulatory marketing review process. Based in London, the Compliance Marketing Specialist will be part of the team responsible for reviewing all marketing, advertising and educational materials, and client communications and other similar documentation and materials related to those Brookfield and Oaktree Advised Funds that are wholesaled by BOWS and its registered and associated persons globally (collectively, “Brookfield Marketing Materials”). This role will focus on material used in EMEA and APAC region.

The successful candidate will possess a strong working knowledge of European and U.S. regulatory requirements including, but not limited to ESMA Marketing Guidelines, SEC New Marketing Rule and FINRA marketing regulations and general familiarity with the Investment Company Act.

Responsibilities:

Reviewing, revising and approving a wide variety of financial promotions, advertisements, sales literature and related marketing communication materials (including but not limited to print and digital marketing, social media posts and other internal and external communications) in accordance with company policies, FCA, MAS and ESMA rules and other global regulations prior to distribution or use

Assisting with the monitoring, tracking and communicating developments in EMEA and APAC regulations (and market practices) as they relate to marketing activities

Assisting with the maintenance of relevant procedures and the provision of advice and training to businesses and Compliance colleagues in the respective jurisdictions on regulatory matters pertaining to marketing issues

Assisting with projects intended to streamline processes, including the use of system-based approvals, and incorporating new communication techniques in the marketing lifecycle.

Keeping current on industry developments affecting marketing and sales materials across various media, and communicating to and advising internal clients of changes in applicable rules & regulations and their effect on the materials

As the BOWS business continues to grow rapidly, the Compliance deliverables also continue to evolve and the incumbent will be given the opportunity to expand their knowledge and responsibilities beyond the sphere of marketing to include other aspects of Compliance monitoring, training and advice.

Primary responsibilities will also involve the identification of legal and reputational risks, managing external counsel and compliance service providers and collaborating with legal and regulatory personnel and teams at PSG, BOWS and across Brookfield and its affiliates, as needed, to ensure alignment of legal and regulatory approach(es).

Experience Required

5-8 years of compliance related experience with a focus on review of marketing materials, at an asset manager or comparable entity, is preferred

Experience working with all types of equity, fixed income, credit and alternative asset classes and investment strategies, funds and separately managed accounts.

Good understanding of the applicable marketing and advertising related requirements under the Investment Company Act of 1940, Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA,

Solid understanding of non-U.S. regulatory requirements under the FCA, MAS and ESMA

General Requirements

You are a strong team player who is inquisitive, self-motivated, industrious and prepared to constructively challenge the status quo.

Ability to multi-task and prioritize deadlines; results-oriented.

Excellent communication skills and client-service orientation.

You have a proven track record of operating within an asset management environment

Knowledge of global asset management legal and regulatory compliance, risk management, and industry policy best practices

You are detail orientated, able to set priorities and complete simultaneous projects

You have good verbal and written communication skills, and the ability to deal with individuals at all levels of seniority

You enjoy challenges created by innovation, especially in the manufacturing of new investment products or entry into new markets

You can critically analyze, identify potential risks and strive to propose solutions.

Knowledge of cross-border fund marketing, particularly of AIFs and/or UCITS, is preferred

Strong academic background: degree or equivalent