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.