Distribution compliance role involving the review and approval processes in relation to investor communications, financial promotions and other materials as required.
Distribution ComplianceExecuting R&C Review and Approval processes in relation to investor communications, financial promotions and other materials as required.Responsibilities - Aligning to the business as a trusted advisor, work closely with and challenge business teams, responding to queries from business areas on relevant R&C topics, redirects to R&C colleagues if unable to respond. - Providing SME leadership and global coordination / support to aligned regional offices with the implementation of the ERM Framework. - Supporting other Regional teams, where appropriate, within the delivery of risk and compliance advice related to the global Marketing processes, investor communications, financial promotions and other advertisements. - Providing SME expertise and advice as necessary, in support of R&C and regulatory responsibilities. - Facilitating, reviewing, supporting and challenging core Risk Management Framework Activities (such as KRIs, CSAs, Risk Assessments and Risk Events). - Participate within outsourcing regulatory compliance and risk oversight via governance, relationship management, operational development and service reviews. - Supporting the Monitoring & Oversight Team with provision of specialist resource to thematic reviews (where appropriate).Experience required - Strong experience in the provision of compliance and risk management advice in an investment firm, with a particular focus on Funds, Distribution, Sales and Marketing functions. - Strong understanding of FCA regulations and associated EU Directives as they apply to an investment firm. - In-depth knowledge of Financial Promotions processes, related regulation and associated best practice. - In-depth knowledge of risk management concepts including practical experience of providing advice, oversight and challenge in relation to risk management framework implementation and key risk exposures. - Able to articulate complex concepts in a concise and effective manner. - Good communication & stakeholder engagement skills. - A structured approach to management, task allocation and reporting. - Proven ability to influence and deliver in a proactive and collaborative manner for the benefit of relevant stakeholders.